(HedgeCo.Net) The Securities and Exchange Commission charged a registered representative in Pennsylvania with operating a long-running offering and investment advisory fraud. The SEC. and did not disclose to his broker-dealer.
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MANILA, Philippines — The president of a stock brokerage house was fined P2.1 million by a Makati regional trial court after he was found guilty of defrauding his clients in violation of the Securities Regulation Code (SRC), the first.
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A proposed regulatory experiment to test the effects of lowering stock exchange fees could end up making stocks harder to trade and should be delayed pending a.
Morgan Stanley has fired broker Vladimir Eydelman, the 42-year-old New Jersey man arrested Wednesday by FBI agents on securities fraud charges. The investment bank had placed the broker on leave immediately after his arrest and.
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Law360, New York (November 15, 2017, 6:15 PM EST) — Texas federal prosecutors said Wednesday that a securities litigator set to be called as a trial expert for a Texas state senator charged with securities fraud should be blocked.
NEW YORK (Reuters) – A former Bank of America Merrill Lynch broker has agreed to plead guilty to a criminal charge of securities fraud for billing clients excessive commissions, according to federal court documents unsealed on.
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