Arizona-Based Brokerage Firm Settles Gatekeeper Failures

From Hedge Fund News From HedgeCo.Net
April 18, 2017 - 9:48am
(HedgeCo.Net) The Securities and Exchange Commission today announced that an Arizona-based brokerage firm, its CEO, and its former underwriter’s counsel have agreed to settle charges related to municipal bond offerings they were underwriting that turned out to be fraudulent. The […]


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