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: Securities Law Prof Blog

SEC Charges Brokers with Unauthorized Trading in Customers' Accounts

By Securites Lawprof

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On May 19, 2009, the SEC filed a complaint alleging that Guillermo David Clamens, FTC Capital Markets, Inc., a registered broker-dealer he controls, ("FTC"), and Lina Lopez, an FTC employee, engaged in a fraudulent scheme to engage in tens of...

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

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