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Settlement Reached With Five Specialist Firms

  Link Details for: Settlement Reached With Five Specialist Firms
Link Title: Settlement Reached With Five Specialist Firms Open in a new window
Link URL: http://www.sec.gov/news/press/2004-42.htm
Link Details: They allegedly violated Federal Securities Laws and NYSE Regulations by executing orders for their dealer accounts ahead of executable public customer or "agency" orders. [SEC]
Category: Top : Society : Issues : Business : Allegedly_Unethical_Firms : One_Complainant : Articles
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Settlement Reached With Five Specialist Firms