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Christopher Poe

Christopher Poe

Brooks Pierce


Latest Publications

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SEC Charges Indian Firms with Acting as Unregistered Broker-Dealers

On November 27th, the SEC charged four Indian financial services firms with acting as unregistered broker-dealers in the United States....more

1/8/2013 - Ambit Capital Private Limited Broker-Dealer Edelweiss Financial Services Enforcement Enforcement Actions JM Financial Institutional Securities Private Limited Motilal Oswal Securities Limited Registration SEC

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