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SEC Inks $946K Settlement In Unregistered Broker Case

By Emilie Ruscoe (August 26, 2024, 10:07 PM EDT) -- A trust and its co-owners have agreed to pay the U.S. Securities and Exchange Commission civil penalties totaling $946,000 to resolve allegations they operated as unregistered broker-dealers when helping to facilitate more than $1.2 billion in securities transactions by penny stock issuers. ...

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