TITLE

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

AUTHOR(S)
Hume, Lynn
PUB. DATE
August 2004
SOURCE
Bond Buyer;8/25/2004, Vol. 349 Issue 31955, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
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.
ACCESSION #
14243654

 

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