Tag: broker

The SEC and the New York Attorney General settled actions against a major Portuguese Bank based on violations of, respectively, the federal securities laws and the New York Martin Act. The Commission case centers on alleged violations of Securities Act …

PORTUGUESE BANK SETTLES WITH SEC AND NY AG Read More »

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Where are the market crisis cases is a long standing question. There have been investigations. Some cases have been brought. Some investigations have been closed. Still, the question remains – where are the market crisis cases? The Commission filed a …

A TALE OF FIVE SCHOOL DISTRICTS AND A TRUSTED ADVISER Read More »

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