Sec Charges Two Firms And Their CEOs With Securities Fraud In Municipal Bond Market
LawFuel – Securities Newswire Regional Brokers, Inc. Ordered to Pay $100,000 Penalty; Discount Munibrokers’ Broker-Dealer Registration Revoked Washington, D.C., Sept. 27, 2007 – The Securities and Exchange Commission today instituted settled enforcement actions against two broker-dealers and their CEOs for fraudulent auction practices in the municipal bond market. A supervisor at one of the firms
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