TITLE

Pacific Matrix agrees to settle with SEC

PUB. DATE
February 1998
SOURCE
Bond Buyer;02/02/98, Vol. 323 Issue 30322, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on Pacific Matrix Financial Group Inc.'s agreement to settle the US Securities and Exchange Commission's (SEC) charges that it violated the securities fraud laws in connection with municipal bond issues. Stifel Nicholas & Co. as underwriter for the issues; Agreement to an SEC cease and desist order; Vaiver of payment of all but $50,000 based on the firm's demonstrated inability to pay.
ACCESSION #
201004

 

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