SEC Fines Broker-Dealer for Inadequate Information Barriers
By EsqSocial Corporation 03/03/17
The U.S. Securities and Exchange Commission (SEC) on February 13, 2017, issued a cease and desist order (Order) and imposed a $100,000 civil penalty against broker-dealer Sidoti & Company, LLC (Broker-Dealer), to settle charges for “failure … to...
By: Dechert LLP