SEC Fines 22 Broker-Dealers $6M For Failing To Register
By Stephanie Russell-Kraft ( March 26, 2015, 1:13 PM EDT) -- A group of 22 companies and individuals on Thursday agreed to pay nearly $5 million in disgorgement and $1 million in penalties to settle the U.S. Securities and Exchange Commission's allegations that they regularly bought and sold securities on behalf of a suburban Chicago-based trading firm without registering with the agency....
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