Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Friday, February 24, 2017

Brokerage Firm Paying Penalty for Compliance and Trading Surveillance Failures


  The Securities and Exchange Commission (SEC) on February 13, 2017 announced that Sidoti & Company LLC, a New York-based brokerage firm has agreed to pay a $100,000 penalty to settle charges of compliance and trading su...
https://www.securitieslawyer101.com/?p=36308

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