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By Marlene Y. Satter, AdvisorOne |
December 7, 2012
Among recent actions taken by the SEC and FINRA were the breakup of an insider trading ring; Raymond James getting fined and censured; and proceedings over securities law violations by the Big Four accounting firms' China affiliates.
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By Marlene Y. Satter, AdvisorOne |
May 11, 2012
Among those finding themselves recently on the wrong end of an SEC action were a movie producer, former Detroit mayor Kwame Kilpatrick and a Shanghai-based auditing firm.