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 a four-year scheme through which he netted at least $4.1 million in ill-gotten gains....
Law360 is on it, so you are, too.
A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.
A Law360 subscription includes features such as
- Daily newsletters
- Expert analysis
- Mobile app
- Advanced search
- Judge information
- Real-time alerts
- 450K+ searchable archived articles
And more!
Experience Law360 today with a free 7-day trial.