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U.S. SEC says ex-broker peddled securities after bar from industry

Published 10y ago

A sign for the Securities and Exchange Commission (SEC) is pictured in the foyer of the Fort Worth Regional Office in Fort Worth, Texas June 28, 2012. Picture taken June 28, 2012. REUTERS/Mike Stone A former Morgan Stanley broker who was barred from the securi... More »

Texas broker-dealer agrees to pay $2 million in fines, restitution

Published 10y ago

A Texas wealth management firm U.S. regulators said grew too fast to supervise agreed to pay more than $2 million in fines and restitution to settle charges its senior management failed to rein in partner offices where brokers were churning accounts. More »

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