Banc of America Investment Services, Inc., and Bacap Distributors, LLC
Parent Company
Bank of America
Penalty
$1,500,000
Year
2006
Offense
Defrauding Investors
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
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