United States: Broker-Dealer Settles SEC Charges For Unregistered Sales Of Microcap Securities - Cadwalader, Wickersham & Taft LLP

United States: Broker-Dealer Settles SEC Charges For Unregistered Sales Of Microcap Securities - Cadwalader, Wickersham & Taft LLP

Mondaq

Published

The broker-dealer also did not sufficiently train its employees on how to discern and avoid participating in unregistered offerings of securities, according to the SEC.

Full Article