Lead counsel for broker in a high-profile investigation and enforcement action by a state securities regulator. The regulator alleged that the broker’s firm sold auction rate securities to a municipality that did not and could not authorize the purchase of such instruments, and that the investment was unsuitable. The case settled before trial with a minimal fine, no suspension, and no finding of violation of law.
Cookie Preference Center
Your Privacy
When you visit our website, we use cookies on your browser to collect information. The information collected might relate to you, your preferences, or your device, and is mostly used to make the site work as you expect it to and to provide a more personalized web experience. For more information about how we use Cookies, please see our Privacy Policy.
Powered by 