SEC Settles Late Trading Case With Ex-Trautman CFO
Former Chief Financial Officer Mark Barbera settled with the U.S. Securities and Exchange Commission on Feb. 14. In addition to imposing the $60,000 civil penalty, the SEC issued an order imposing remedial sanctions that prohibit Barbera from associating with any broker-dealers.
Barbera has also been barred from serving as an employee, officer, director or investment...
To view the full article, register now.