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: Securities Law Prof Blog

FINRA Fines Pacific Cornerstone Capital for Private Placement Violations

By Securites Lawprof

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FINRA announced today that it fined Pacific Cornerstone Capital, Inc. and its former chief executive officer, Terry Roussel, a total of $750,000 for failing to include full and complete information in private placement offering documents and marketing material. FINRA also...

Full post as published by Securities Law Prof Blog on December 21, 2009 (boomark / email).

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