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May 18, 2011
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Blog, Securities Fraud
Deutsche Bank Securities, Inc. (CRD #2525, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $65,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it submitted to
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May 18, 2011
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Blog, Securities Fraud
Credit Suisse Securities (USA) LLC (CRD #816, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $50,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it transmitted
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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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