The SEC Scores Another Admission: Scottrade Acknowledges That It Broke Recordkeeping Rules
By EsqSocial Corporation 05/02/14
Last week, Scottrade Inc. became the latest entity to admit wrongdoing in connection with settling SEC charges. In a January 29, 2014 administrative order, the brokerage firm not only agreed to a $2.5 million penalty, but also admitted that it...
By: Orrick - Securities Litigation and Regulatory