SEC, Rauscher could settle or go to trial

Hume, Lynne
April 1999
Bond Buyer;04/21/99, Vol. 328 Issue 30624, p4
Trade Publication
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.


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