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: Securities Law Prof Blog

SEC and Inter-Dealer Broker Settle Fraud Charges

By Securites Lawprof

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The SEC and the U.S. subsidiary of the world's largest inter-dealer broker, U.K.-based ICAP plc,settled fraud charges that alleged deceptive activity and material misrepresentations to customers concerning its trading activities. ICAP agreed to settle the SEC's charges by, among other...

Full post as published by Securities Law Prof Blog on December 18, 2009 (boomark / email).

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