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 Fines Wall Street Firms $13M

Law360 (May 31, 2006, 12:00 AM EDT) -- The U.S. Securities and Exchange Commission has fined 15 Wall Street firms more than $13 million for auction rate securities violations that allegedly occurred between January 2003 and June 2004....
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.