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1. Court Upholds Permanent Bar Even Though Rules Changed
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  Tuesday, February 21, 2012
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  Thursday, February 09, 2012
8. BD to Pay $1 Million Fine for Requiring Employees to Waive Arbitration
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Investment Management Law: Daily Archive - 1/13/2012

Broker-Dealer Fined $1.75 Million for Inadequate Reg SHO Compliance Procedures

Posted by Todd Cipperman at 1/13/2012 6:52 AM | Add Comment

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Broker-Dealer Fined $1.75 Million for Inadequate Reg SHO Compliance Procedures