TITLE

Marion bass tentatively agrees to sanctions to settle SEC markup case

AUTHOR(S)
Hume, Lynn
PUB. DATE
April 1999
SOURCE
Bond Buyer;04/16/99, Vol. 328 Issue 30621, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Cites the decision of Marion Bass Securities Corp. and its compliance officer to tentatively agree to United States Securities and Exchange Commission sanctions to settle a municipal and government securities markups case. Agency's charge that the firm violated securities fraud laws and Municipal Securities Rulemaking Board rules; Excessive markups and markdowns in municipal and government securities deals.
ACCESSION #
1774082

 

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