Monday, September 16, 2019

Two Broker-Dealers to Pay $4.65 Million in Penalties for Providing Deficient Blue Sheet Data

The Securities and Exchange Commission today announced that Stifel, Nicolaus & Co., Inc. has agreed to pay $2.7 million and BMO Capital Markets Corp. has agreed to pay $1.95 million to settle charges for providing incomplete and inaccurate…
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--- Visit the Securities Lawyer website.