SEC Notifies Heartland Group Of Pending Enforcement Action

Fine, Jacob; Hume, Lynn
September 2003
Bond Buyer;9/2/2003, Vol. 345 Issue 31710, p1
Trade Publication
Reports on the notification given to Heartland Group Inc., its subsidiary Heartland Advisors Inc., and several associated individuals by the U.S. Securities and Exchange Commission (SEC) about the impending enforcement action against them for alleged violations of the securities laws. Response of company officials on the investigation of Heartland municipal funds; Circumstances that led the SEC to take the decision of investigation of bond issue.


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