Guess what? The SEC does not discuss investigations until and unless they decide to bring an enforcement action.
Very strange that a broker would make a public statement about a Global Lock being the product of an SEC complaint against the company.
And what broker did that? It's painfully obvious that the global lock was imposed as a result of the FINRA action last summer. Now it's up to the company to do something about it, should it manage to summon the energy.
DHSM - I'm questioning the legality of the notice...strange that DHSM is not mentioned at all in either link!?
As a result of a complaint filed by the U.S. Securities and Exchange Commission (SEC), the Depository Trust Company (DTC) has suspended settlement services