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: Securities Law Prof Blog

SEC Settles Unauthorized Trading & Fraud Charges Against Unregistered Broker-Dealer

By Securites Lawprof

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The SEC announced that on August 26, 2010, the U.S. District Court for the Southern District of New York entered final judgments approving settlements between the Commission and the defendants in the pending case against FTC Capital Markets, Inc. ("FTC"),...

Full post as published by Securities Law Prof Blog on September 14, 2010 (boomark / email).

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