TITLE

SEC, Rauscher could settle or go to trial

AUTHOR(S)
Hume, Lynne
PUB. DATE
April 1999
SOURCE
Bond Buyer;04/21/99, Vol. 328 Issue 30624, p4
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Informs that the United States Securities and Exchange Commission (SEC) and Dain Rauscher Inc. could settle or prepare for trial in the first case involving alleged yield-burning abuses. Documents filed by the two parties with the federal judge; Securities fraud and other charges filed by the SEC against Rauscher.
ACCESSION #
1804727

 

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