TITLE

SEC Settles With Ough, For No Fine

AUTHOR(S)
Hume, Lynn
PUB. DATE
October 2002
SOURCE
Bond Buyer;10/31/2002, Vol. 342 Issue 31503, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports that former U.S.-based finance company Rauscher Pierce Refsnes Inc.'s banker Kenneth D. Ough does not have to pay a fine for the settlement of fraud charges with the U.S. securities and Exchange Commission as of October 2002. Imposition of a cease-and-desist order on Ough by the commission; Impact of the order on Ough's securities transactions; Charges of Ough with the commission.
ACCESSION #
8631485

 

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