Bank Dealer To Pay $1M In G-37 Case

Hume, Lynn
June 2002
Bond Buyer;6/19/2002, Vol. 340 Issue 31411, p1
Trade Publication
Reports the payment of charges for violating the Municipal Securities Rulemaking Board Rule G-37 by Fifth Third Securities Inc. in Denver, Colorado. Amount of cash the company will pay to the Securities and Exchange Commission; Consideration of settlement; Statement regarding the size of penalty by assistant director Lawrence West.


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