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SEC, First Allied Reach $1.95M Settlement for Supervisory Failures

Monday, March 8, 2010

The Securities and Exchange Commission announced Friday that it has reached a $1.95 million settlement with First Allied Securities Inc. for failing to supervise one of its former brokers who engaged in unauthorized, fraudulent trading in the accounts of two Florida municipalities.

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Bond Buyer LogoThe Bond Buyer: The Daily Newspaper of Public Finance

SEC, First Allied Reach $1.95M Settlement for Supervisory Failures

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