| United States | Federal Reserve Board | US Federal Reserve Enforcement Actions | | - | |
| United States | Financial Industry Regulatory Authority | - | - | - | |
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| United States | Financial Industry Regulatory Authority | - | - | - | |
| United States | Financial Industry Regulatory Authority | - | - | - | |
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| United States | Financial Industry Regulatory Authority | - | - | - | |
| United States | U.S. Commodity Futures Trading Commission | - | - | - | |
| United States | Financial Industry Regulatory Authority | - | - | - | |
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