Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Thursday, March 26, 2015

SEC Charges 22 Unregistered Broker-Dealers-Going Public Attorneys


The Securities and Exchange Commission (the “SEC”) Division of Enforcement is pursuing unregistered broker-dealer activity which runs rampant in the penny stock markets.  With a reduction of the number of small broker-dealers there have been l...
https://www.securitieslawyer101.com/2015/sec-charges-unregistered-brokers/

No comments:

Post a Comment