Banc of America Investment Services, Inc., and Bacap Distributors, LLC
Violation
Defrauding Investors
Penalty
$1,500,000.00
Year
2006
Agency
Securities and Exchange Commission
Jurisdiction
Federal
描述
The Securities and Exchange Commission announced the settlement of proceedings against 15 broker-dealer firms for engaging in violative practices in the auction rate securities market. For more info visit https://www.sec.gov/news/press/2006/2006-83.htm