TITLE

First Union, Cawley Lose SEC Appeal

PUB. DATE
August 2003
SOURCE
Bond Buyer;8/22/2003, Vol. 345 Issue 31704, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports that the U.S. Securities and Exchange Commission has sided with its enforcement division and are against Wheat, First Securities Inc., which was purchased by First Union Capital Markets Inc. and its former vice president Teressa Cawley. Violation of Municipal Securities Rulemaking Board's Rule G-17 by First Union and Cawley; Civil penalty that First Union have to pay for violation; Suspension of Cawley from securities market.
ACCESSION #
10671689

 

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