TITLE

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

AUTHOR(S)
Hume, Lynn
PUB. DATE
June 2002
SOURCE
Bond Buyer;6/19/2002, Vol. 340 Issue 31411, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
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.
ACCESSION #
6953846

 

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