Settlement Reached With Five Specialist Firms
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Scan day: 28 February 2014 UTC
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Description: They allegedly violated Federal Securities Laws and NYSE Regulations by executing orders for their dealer accounts ahead of executable public customer or "agency" orders. [SEC]
(March 30, 2004)
Settlement Reached With Five Specialist Firms for Violating Federal Securities Laws and NYSE Regulations; Firms Will Pay More Than $240 Million in Penalties and Disgorgement Settlement Reached With Five Specialist Firms for Violating Federal Securities Laws and NYSE Regulations; Firms Will Pay More Than $240 Million in Penalties and Disgorgement
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| Page title: | Settlement Reached With Five Specialist Firms for Violating Federal Securities Laws and NYSE Regulations; Firms Will Pay More Than $240 Million in Penalties and Disgorgement |
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| IP-address: | 172.231.128.221 |
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| WHOIS | Status: ACTIVE |
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