« Countrywide's CEO Does Well | Main | SEC Director of Investment Management Outlines Agenda »
April 25, 2008
H&R Block Financial Advisors Exonerated in Enron Sales Proceeding
A FINRA hearing panel dismissed a November 2004 complaint against H&R Block Financial Advisors alleging sales practices and supervisory violations relating to sales of Enron Corporation bonds during the one-month period immediately preceding Enron's filing for bankruptcy protection on Dec. 2, 2001. The panel ruled that FINRA's Department of Enforcement failed to show by a preponderance of evidence that H&R Block registered representatives misrepresented or omitted material facts in connection with sales of Enron bonds, or that the firm failed to implement adequate supervisory systems and procedures.
April 25, 2008 in Other Regulatory Action | Permalink
TrackBack
TrackBack URL for this entry:
http://www.typepad.com/services/trackback/6a00d8341bfae553ef00e55212b4568834
Listed below are links to weblogs that reference H&R Block Financial Advisors Exonerated in Enron Sales Proceeding:
» Buy meridia meridia reductil mg generic e. from Meridia.
Meridia chat. Prescription weight loss medications - meridia. Meridia. Meridia anxiety. Meridia drug. Meridia reviews. [Read More]
Tracked on Sep 21, 2009 11:54:18 AM
» Boobs. from Boobs.
Rate my boobs. Big boobs. Boobs. Huge boobs. [Read More]
Tracked on Dec 21, 2009 11:40:48 PM
» Boobs. from Boobs.
Big boobs. Big black boobs. Rate my boobs. [Read More]
Tracked on Dec 27, 2009 2:35:47 PM
