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March 12, 2026

Financial Investigations April 19, 2018

Registered Broker-Dealer Settles Charges for Securities Related Violations

Rogue Broker-Dealer Electronic Transaction Clearing (ETC), a registered broker-dealer headquartered in Los Angeles, California, agrees to settle various Securities and…

By Peter Moreno

Financial Investigations March 21, 2018

Electronic Transaction Clearing Reached $80,000 Settlement

Electronic Transaction Clearing has agreed to settle charges ordered by SEC, with information released on Monday, March 19. ETC was…

By Megan Westlund

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