Fifteen Firms to Settle SEC and NASD Breakpoints Charges
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Scan day: 15 February 2014 UTC
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Description: Companies and amount of fines for failure to deliver mutual fund breakpoint discounts during 2001 and 2002. [SEC]
(February 12, 2004)
Fifteen Firms to Pay Over $21.5 Million in Penalties to Settle SEC and NASD Breakpoints Charges Fifteen Firms to Pay Over $21.5 Million in Penalties to Settle SEC and NASD Breakpoints Charges Affected Mutual Fund Customers to Receive Refunds
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| Page title: | Fifteen Firms to Pay Over $21.5 Million in Penalties to Settle SEC and NASD Breakpoints Charges |
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| IP-address: | 95.100.13.59 |
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