TITLE

Stephens hires attorney to review compliance procedures

AUTHOR(S)
Hume, Lynn
PUB. DATE
January 1999
SOURCE
Bond Buyer;01/25/99, Vol. 327 Issue 30564, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on Stephens Inc.'s hiring of attorney Edward L. Pittman to conduct a United States Securities and Exchange Commission (SEC)-mandated review of its public finance department's supervisory and compliance policies and procedures. Expected completion of Pittman's report; Stephens' agreement to the review as part of a settlement of SEC charges over alleged abuses.
ACCESSION #
1492104

 

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