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Tag: Jefferies & Company fine
Jesse Litvak Securities Fraud Case Update
A securities-fraud case that triggered widespread changes to sales tactics on Wall Street is once again in the spotlight as a former...
SEC Charges ex-Jefferies Executive with Defrauding Investors
The Securities and Exchange Commission recently charged a former executive at New York-based broker-dealer Jefferies & Co. with...
FINRA Fines Jefferies & Company Over Auction Rate Securities
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Jefferies & Company, Inc. $1.5 million for...
