Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Sunday, April 5, 2015

Broker Turned Bank Robber Sanctioned by the SEC


  The Financial Industry Regulatory Authority (“FINRA”) and the Securities and Exchange Commission (the “SEC”) regularly discipline errant brokers and financial advisers, but Leonard Eric Burd's case is unusual by any standard.  On Mar...
https://www.securitieslawyer101.com/2015/broker-turned-bank-robber-sanctioned-by-the-sec/

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