Tag: LeeAnn Ghazil Gaunt
Westport’s Lime Rock Management among 10 firms fined by SEC for...
The firm will pay $75,000 to settle charges that it violated the SEC rules by receiving compensation from public pension funds within two years after campaign contributions made by the its associates.
SEC: Edward Jones to pay $20M in muni bond overcharges
Brokerage firm Edward Jones has agreed to settle charges brought by the Securities and Exchange Commission that it overcharged customers in new municipal bonds sales.
