ADVERTISEMENT



Google       

Home -> Law Blog Directory -> Academic Blogs -> Securities Law Prof Blog

OR PHONE (866) 635-1838 for Bankruptcy Help, (866) 635-6190 for Divorce,
(866) 635-2689 for Personal Injury or (866) 635-9402 for Criminal Defense

Find a Local Lawyer

Bankruptcy (866) 635-1838
Divorce (866) 635-6190
Personal Injury (866) 635-2689
Criminal Defense (866) 635-9402

Bookmark

Academic

: Securities Law Prof Blog

Regulators Crack Down on Broker-Dealers Involved in Sales of Unregistered Penny Stocks

By Securites Lawprof

ADVERTISEMENTS
Both FINRA and the SEC announced enforcement actions against broker-dealers involving sales of unregistered penny stocks by their customers, although there is no indication in the releases that they are related. FINRA fined five broker-dealers a total of $385,000 for... read more

To access this complete feed in the blog feed reader login or register for free.

Full post as published by Securities Law Prof Blog on April 27, 2010 (boomark / email).

Bloggers, promote your law blog by nominating your blog for inclusion in USLaw.com's Law Blog Directory and RSS Reader. Benefits described.
Related Searches

























































































































US Law
#1 Online Legal Resource













Your Blog Subscriptions
Subscribe to blogs

10,000+ Law Job Listings
Lawyer . Police . Paralegal . Etc
Earn a law-related degree
Are you the author of this blog? Adding USLaw.com to your Blogroll increases relevance. You qualify to display a USLaw Network badge.
Suggest changes to this blog's description or nominate another for inclusion. Register for updates.


Practice Area
Zip Code:

Contact a Lawyer Now!






0.0037 secs (from cache 11/02/26 11:30:25)