Quantcast

Kendrick to Pay $10,000 to Settle G-37 Violation Charges

WASHINGTON — Former Southwest Securities Inc. banker John F. Kendrick has agreed to pay a civil penalty of $10,000 to settle Securities and Exchange Commission charges that he willfully violated, and caused the firm to violate, Rule G-37 by making significant political contributions to Massachusetts Treasurer Timothy Cahill.

To continue reading, log in, register or subscribe below.Calendars are available to registered users of The Bond Buyer web site.
Please log in below with the credentials you established at the time of your subscription or when you set up a free trial. If you have never set up an account with The Bond Buyer, please click the "Free trial" link below to set up your account.

Already a subscriber? Log in here.

Please note you must now log in with your email address and password.

 

Upcoming Events

Already a subscriber? Log in here
Please note you must now log in with your email address and password.