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: Securities Law Prof Blog

SEC Fines SG Americas Securities for Failure to Supervise Former Managing Director

By Securites Lawprof

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In the Matter of SG Americas Securities, LLC and Francois O. Barthelemy: On February 13, the SEC issued an Order Imposing Remedial Sanctions (Order) against SG Americas Securities, LLC (SGAS) and Francois O. Barthelemy (Barthelemy). The Order finds that SGAS...

Full post as published by Securities Law Prof Blog on February 13, 2009 (boomark / email).

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