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June 01, 2012
Matthew Collins v. SEC
View recent docket activity
Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.
Coverage
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November 26, 2013
D.C. Circ. Affirms SEC Fine For Scofflaw Broker's Boss
The D.C. Circuit on Tuesday upheld a $310,000 U.S. Securities and Exchange Commission fine against a Prime Capital Services Inc. broker for failing to properly supervise a subordinate and allowing the subordinate to continue selling annuities even after his license had been revoked.
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