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>> SEC Latest News

MAY 02, 2013 - AdvisorOne

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SEC, FINRA Enforcement Roundup: City of Victorville, Calif., Charged With Fraud

Among recent enforcement actions, the SEC went after the city of Victorville, Calif., for defrauding municipal bond investors. In addition, FINRA took action against John Thomas Financial for intimidation of its own staff.

Tags: SEC, FINRA Enforcement Roundup: City of Victorville, Calif., Charged With Fraud,  Sec Latest News