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Enforcement actions are generally terminated when firms have remedied underlying problems.
June 20
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Former broker Deborah Kelley will pay $188,000 as part of her sentence after pleading guilty to taking part in a pay-to-play scheme involving New York pension fund business.
June 8
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Christopher St. Lawrence is arguing that errors during his case should allow him an acquittal or new trial.
June 6
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A federal jury found Christopher St. Lawrence, the former town supervisor of Ramapo, N.Y., guilty of criminal fraud.
May 22
