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: Securities Law Prof Blog

SEC Charges Moscow Broker Dealer with Soliciting Sales of Russian Stock

By Securites Lawprof

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The SEC charged a Moscow-based unregistered broker-dealer for registration and reporting violations, alleging that it solicited institutional investors in the U.S. to purchase and sell small cap stocks of Russian companies without registering as a broker-dealer with the SEC or...

Full post as published by Securities Law Prof Blog on December 08, 2008 (boomark / email).

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