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: Securities Law Prof Blog

Massachusetts Issues Subpoenas to Broker-Dealers Over Private Placements

By Securites Lawprof

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Massachusetts securities regulator William Galvin yesterday issued subpoenas to six brokerage firms concerning sales of participations in private placements marketed by Medical Capital Holdings Inc. and Provident Royalties LLC, seeking information on due diligence efforts, suitability data and promotional materials....

Full post as published by Securities Law Prof Blog on March 23, 2010 (boomark / email).

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