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SEC Fines Transfer Agent For Missing Microcap Red Flags

By Ed Beeson ( September 23, 2014, 5:19 PM EDT) -- The U.S. Securities and Exchange Commission on Tuesday said it has fined a New Jersey-based stock transfer agent and its former chief executive to settle claims that the firm ignored "blatant red flags" around the activities of alleged penny stock fraud, in the latest sign of the agency's pledge to crack down on so-called gatekeepers who fail to stop misconduct....

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