SEC Seeks $1M Sanctions From Ex-Brokerage Firm Execs
By Jeannie O'Sullivan ( September 20, 2018, 6:23 PM EDT) -- The U.S. Securities and Exchange Commission has asked a New Jersey federal court to enforce $1 million in sanctions against two brokerage firm executives in connection with a scheme that allegedly involved manipulative trading to create artificial demand, saying Thursday that they haven't honored the four-year-old settlement....
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