We use cookies on this site to enable your digital experience. By continuing to use this site, you are agreeing to our cookie policy. close

SEC Drops Mutual Fund Sales Case

Law360 (February 1, 2007, 12:00 AM EST) -- The U.S. Securities and Exchange Commission has dismissed administrative proceedings against a former Prudential Securities Inc. broker and his supervisor over the allegedly improper sale of mutual funds.

The SEC issued...
To view the full article, register now.
Law360 Pro Say Podcast
Check out Law360's new podcast, Pro Say, which offers a weekly recap of both the biggest stories and hidden gems from the world of law.