Recently by Howard L. Kramer
Securities & Exchange Commission (SEC)
The SEC Sanctions Broker For Failure To Maintain And Enforce Insider Trading Policies
The SEC sanctioned Janney Montgomery Scott LLC ("Janney"), a registered broker-dealer and investment adviser, for violating section 15(g)1of the Securities Exchange Act of 1934 (the "Exchange Act") by failing to have and enforce policies and procedures to prevent the misuse of...
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