Wednesday, February 4, 2015

S.E.C. Commissioners Split on Waiving Financial Industry Punishment by BEN PROTESS



By BEN PROTESS


Kara M. Stein and Luis A. Aguilar, Democratic members of the Securities and Exchange Commission, criticized their own agency for allowing Oppenheimer & Company to avoid a ban that would have disqualified it from most private offerings of securities.


Published: February 4, 2015 at 12:00AM


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