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: Securities Law Prof Blog

SEC Charges Broker with Diverting $3.3 Million of Customer's Funds to Another Customer

By Securites Lawprof

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The SEC today charged Jose O. Vianna, Jr., a former registered representative at a New York based broker-dealer named Maxim Group LLC ("Maxim"), with a fraudulent scheme to divert millions of dollars in trading profits from a large institutional customer...

Full post as published by Securities Law Prof Blog on March 10, 2010 (boomark / email).

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