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Disgorgement / U.S. Securities and Exchange Commission / Government / Mutual fund scandal / Corporate crime / Fair Fund / United States Securities and Exchange Commission


UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]March 31, 2015 ADMINISTRATIVE PROCEEDING
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Document Date: 2015-03-31 14:05:51

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File Size: 80,83 KB

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Company

EXECUTION SOLUTIONS LLC / ConvergEx Execution Solutions LLC / The Garden City Group / TRADE SERVICES LLC / ConvergEx Global Markets Limited / /

Currency

USD / /

Organization

Division of Enforcement / Securities and Exchange Commission / Fair Fund / /

Person

Jonathan Samuel Daspin / Thomas Lekargeren / /

Position

Secretary / fund plan administrator / Brent J. Fields Secretary / /

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