David Jenson

David Jenson

Stinson LLP

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SEC Continues Crackdown on Unregistered Broker-Dealers

A New York man has agreed to pay almost $4.5 million to settle charges by the SEC that he violated Section 15(a) of the Exchange Act by acting as an unregistered broker-dealer. According to the SEC, starting in 2010 Joshua A....more

6/15/2015  /  Acquisitions , Broker-Dealer , Dodd-Frank , Enforcement Actions , Financial Markets , Mergers , Securities , Securities and Exchange Commission (SEC) , Securities Exchange Act , Unregistered Brokers
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