Flurry of False Claims Activity Expected to Continue

By Melissa Klein Aguilar2010-07-13T11:32:00

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SEC issues $63M in fines to dozen firms in ongoing off-channel comms sweep

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Twelve more firms have been dinged with fines by the Securities and Exchange Commission for failing to properly supervise employees who used off-channel communications to conduct company business. In this latest round of enforcement actions, nine investment advisers and three broker-dealers will pay a total of $63 million.