« No One Likes Blockbuster's Bid for Circuit City | Main | SEC Charges Defendants with Defrauding JP Morgan Chase Through Sham Finder Fees »
April 15, 2008
SEC Announces List of Unregistered Soliciting Firms
The SEC announced a Public Alert: Unregistered Soliciting Entities (PAUSE) website where it lists unregistered soliciting entities that have been the subject of investors' complaints. For each of the entities named on the website, SEC staff determined either (1) that there is no US registered securities firm with this name, or (2) that there is a US registered securities firm with the same (or a similar) name but that solicitations appear to have been made by persons who are not affiliated with the US registered securities firm.
April 15, 2008 in SEC Action | Permalink
TrackBack
TrackBack URL for this entry:
http://www.typepad.com/services/trackback/6a00d8341bfae553ef00e551d64d478833
Listed below are links to weblogs that reference SEC Announces List of Unregistered Soliciting Firms:
