Susan Gault-Brown

Susan Gault-Brown

Morrison & Foerster LLP

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Structured Thoughts: News for the financial services community Volume 9, Issue 4

SEC FINES BROKER-DEALER FOR EARLY RESALES OF STRUCTURED NOTES - On June 25, 2018, the SEC announced that a broker-dealer settled charges relating to inappropriate resales of structured notes. The SEC determined that the...more

7/2/2018  /  Broker-Dealer , Investment Adviser , Securities and Exchange Commission (SEC) , Structured Finance
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