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: Securities Law Prof Blog

SEC Charges Broker-Dealer with Failing to Supervise Broker Who Defrauded Two Florida Municipalities

By Securites Lawprof

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The SEC charged First Allied Securities, Inc., a San Diego-based broker-dealer, with failing to reasonably supervise one of its registered representatives who engaged in unauthorized fraudulent trading in the accounts of two Florida municipalities. First Allied Securities, Inc., has agreed...

Full post as published by Securities Law Prof Blog on March 05, 2010 (boomark / email).

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