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: Securities Law Prof Blog

ALJ Finds Broker Gave Cash Kickbacks to New Mexico State Treasurer

By Securites Lawprof

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On July 28 an Administrative Law Judge issued an Initial Decision in the matter of Guy P. Riordan finding that Guy P. Riordan (Riordan) violated the antifraud provisions of the federal securities statutes by giving cash kickbacks to the State...

Full post as published by Securities Law Prof Blog on August 04, 2008 (boomark / email).

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