Ex-Exec, SEC Settle Suit Over Pump-And-Dump Reporting
By Cara Mannion ( June 14, 2017, 3:31 PM EDT) -- The former chief compliance officer of brokerage firm Windsor Street Capital LP has settled the U.S. Securities and Exchange Commission's allegations that he failed to report $24.8 million in suspicious trading activity linked to a microcap stock pump-and-dump scheme....
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