Showing posts with label ALLEGED OPERATING AS AN UNREGISTERED DEALER IN SECURITIES. Show all posts
Showing posts with label ALLEGED OPERATING AS AN UNREGISTERED DEALER IN SECURITIES. Show all posts
Saturday, April 21, 2012

SEC CHARGES CHICAGO-BASED SECURITIES DEALER WITH VIOLATION OF REGISTRATION REQUIREMENTS

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FROM:  SEC  Washington, D.C., April 19, 2012 – The Securities and Exchange Commission today charged a Chicago-based securities dealer affi...