July 12, 2024
Guy Gentile
Stories this photo appears in:
Bahamas broker chief demands $20m SEC sanctions cut to $12k
A Bahamian broker/dealer’s principal yesterday argued a minuscule fraction of the $20m-plus financial sanctions demanded by US regulators should be imposed against him for violating securities laws.
Bahamas broker guilty of US legal violations
A BAHAMIAN broker/ dealer’s principal yesterday vowed “this is far from over” after a jury found himself and his former company guilty of violating US securities laws when operating from Nassau.
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