Administrative Order imposing a fine of $25,000 against Kenneth D. Shifrin regarding Liquid Holdings Group Inc., a Delaware firm whose shares were listed on NASDAQ, and QuantX Management LLP, a British “partner-funded trading firm that allocated capital to traders”, before the U. S. Securities and Exchange Commission.
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April 22, 2020
Kenneth D. Shifrin
Xx Xx Xx
U. S. Securities and Exchange Commission
Topics
Investment Liquidations & Insolvencies Listed Securities Regulatory USAKeywords
Kenneth D. Shifrin Liquid Holdings Group, Inc. QuantX Management LLP U. S. Securities and Exchange Commission