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: White Collar Crime Prof Blog

Ninth Circuit Affirms Brokers' Duty To Disclose Material Commissions

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GUEST BLOGGER-SOLOMON L. WISENBERG Last week, in a significant decision construing SEC Rule 10b-5 in the context of criminal prosecutions, the Ninth Circuit held that "if a broker and a client have a trust relationship...then the broker has an obligation...

Full post as published by White Collar Crime Prof Blog on June 16, 2010 (boomark / email).

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