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“The channel doesn’t matter in terms of responsibility for the information,” said SEC Chairman Jay Clayton.
November 14 -
The now-defunct unregistered broker-dealer Core Performance Management, LLC, and four of its former employees settled fraud and MSRB rule violations with the SEC for engaging in municipal bond flipping and kickback scheme.
August 23 -
The SEC wants a quick end to its case against former Ramapo, N.Y. town supervisor Christopher St. Lawrence, but St. Lawrence's lawyer wants a federal judge to proceed to trial.
April 3