SEC Prevails Over Prolific Trader In Unregistered Dealer Suit
By Katryna Perera ( September 27, 2023, 7:24 PM EDT) -- A Minnesota federal judge ruled in favor of the U.S. Securities and Exchange Commission Wednesday in an enforcement action accusing a company of making over $14 million from selling securities as an unregistered dealer, finding there is no factual argument about whether the company acted as a dealer or was required to register with the commission....
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