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Home>SEC, FINRA Enforcement Roundup: City in California Charged With Fraud

SEC, FINRA Enforcement Roundup: City in California Charged With Fraud

Advisor One

Thu, 2 May 2013

Among recent enforcement actions, the SEC went after the city of Victorville, Calif., for defrauding municipal bond investors. In addition, FINRA took action against John Thomas Financial for intimidation of its own staff.

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