Sunday, October 12, 2014

Risk Alert – Penny Stock Deposits

Going Public LawyerSecurities Lawyer 101 Securities Law Blog On September 9, 2014, the Securities and Exchange Commission (the SEC ) published a Risk Alert concerning the obligations of broker-dealers who engage in unregistered transactions on behalf of their customers.  The SEC publication of the staff guidance was accompanied by the announcement of an enforcement action against two E*TRADE Subsidiaries for improperly selling billions of shares... Read MoreGoing Public Lawyer

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