SEC Hits NY Broker Over $4.1M Share-Purchase Scheme

By Ben Conarck · June 12, 2015, 11:54 AM EDT

The U.S. Securities and Exchange Commission on Thursday filed suit against a New York broker for selling unregistered securities through a web of related entities including Oxford Capital Advisors LLC in...

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Documents

Complaint

Case Information

Case Title

Securities Exchange Commission v. Yudell et al

Case Number

Court

New York Southern

Nature of Suit

Securities/Commodities

Date Filed

June 11, 2015

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