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: Securities Law Prof Blog

FINRA Fines Goldman Sachs For Failing to Disclose Tourre's Wells Notice

By Securites Lawprof

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FINRA has fined Goldman, Sachs & Co. $650,000 for failing to disclose that two of its registered representatives, including Fabrice Tourre, had received formal notices from the SEC that they were the subjects of investigations. Tourre's "Wells Notice" was issued...

Full post as published by Securities Law Prof Blog on November 09, 2010 (boomark / email).

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