SEC, Prolific Trader Square Off In Unregistered Dealer Suit
By Emilie Ruscoe ( March 27, 2023, 10:30 PM EDT) -- A purported penny stock trading firm and the U.S. Securities and Exchange Commission have both urged a Minnesota federal judge to deny their opponent an early victory in the regulator's enforcement action alleging the company was an unregistered dealer when it made over $14 million off selling securities....
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