SEC Bars Shupe From Markets, But Doesn't Impose Financial Penalties

Hume, Lynn
August 2004
Bond Buyer;8/25/2004, Vol. 349 Issue 31955, p5
Trade Publication
Reports that the U.S. Securities and Exchange Commission has barred former investment banker L. Andrew Shupe from the securities markets over a 9.6 million dollar arbitrage-drive note issue. Absence of civil penalties against Shupe.


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