Sunday, April 5, 2015
Broker Turned Bank Robber Sanctioned by the SEC
The Financial Industry Regulatory Authority (“FINRA”) and the Securities and Exchange Commission (the “SEC”) regularly discipline errant brokers and financial advisers, but Leonard Eric Burd's case is unusual by any standard. On Mar...
https://www.securitieslawyer101.com/2015/broker-turned-bank-robber-sanctioned-by-the-sec/
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