KAPLAN BROKERS SETTLE SEC LATE-TRADING ALLEGATIONS, PLEAD GUILTY TO NY CHARGES In re Powell | Secondary Sources | Westlaw

KAPLAN BROKERS SETTLE SEC LATE-TRADING ALLEGATIONS, PLEAD GUILTY TO NY CHARGES In re Powell | Secondary Sources | Westlaw

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KAPLAN BROKERS SETTLE SEC LATE-TRADING ALLEGATIONS, PLEAD GUILTY TO NY CHARGES In re Powell

10 No. 19 ANSLRR 11Andrews Securities Litigation and Regulation Reporter (Approx. 2 pages)

KAPLAN BROKERS SETTLE SEC LATE-TRADING ALLEGATIONS, PLEAD GUILTY TO NY CHARGES In re Powell

10 No. 19 ANSLRR 11Andrews Securities Litigation and Regulation Reporter (Approx. 2 pages)

10 No. 19 Andrews Sec. Litig. & Reg. Rep. 11
Andrews Securities Litigation and Regulation Reporter
*1 January 26, 2005
Market-Timing
Copyright © 2005 Thomson/West .

KAPLAN BROKERS SETTLE SEC LATE-TRADING ALLEGATIONS, PLEAD GUILTY TO NY CHARGES

In re Powell

The Securities and Exchange Commission has accepted $750,000 in disgorgement and penalties from two former employees of a Florida financial services firm in settlement of the agency's charges that they engaged in a scheme to defraud mutual-fund...
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