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SEC Says Excessive Trading By 2 NY Brokers Hurt Clients

Law360, New York (December 6, 2017, 8:38 PM EST) -- Two brokers working for New York-based brokerage Four Points Capital Partners LLC made more than $100,000 each in commissions while recommending a high-cost trading strategy to clients who collectively wound up...
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Case Information

Case Title

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Case Number

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New York Southern

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Date Filed

December 6, 2017


Government Agencies

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