Stephens hires attorney to review compliance procedures

Hume, Lynn
January 1999
Bond Buyer;01/25/99, Vol. 327 Issue 30564, p5
Trade Publication
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.


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