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: Securities Law Prof Blog

SEC Charges Transfer Agent with Improper Distribution of Restricted Securities

By Securites Lawprof

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On November 30, 2009, the SEC filed a civil injunctive action in the U.S. District Court for the District of Utah against Standard Transfer & Trust, a registered transfer agent, and its president Whitney D. Lund, Sr. In its Complaint,...

Full post as published by Securities Law Prof Blog on December 02, 2009 (boomark / email).

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