Dain Rauscher to Pay $500,000 To Settle 4-Year-Old SEC Charges

Hume, Lynn
August 2002
Bond Buyer;8/14/2002, Vol. 341 Issue 31449, p1
Trade Publication
Reports the settlement of the securities fraud charges of the Securities and Exchange Commission against RBC Dain Rauscher in Oregon County, California. Agreement to cease and decease violations related to securities law; Amount paid by the company; Enforcement of the municipal bond.


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