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May 16, 2011
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Blog, Securities Fraud
Brean Murray, Carret & Co., LLC (CRD #23723, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $17,500 and required to revise its written supervisory procedures regarding SEC Rules 611(a) (1) and (c) of Regulation NMS; order handling; best
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