Regulatory Alerts2009-03-06
Added · Updated
News Bulletin 2350 - March 6, 2009
New Stream Securities, LLC agreed to pay $1,500 to resolve allegations of employing an unregistered agent, with $1,000 designated as an administrative fine and $500 covering registration fees and investigation costs. The firm must comply with statutory registration requirements for affected personnel and implement necessary supervisory procedures. Additionally, the Commissioner modified a prior consent order against registered agent Jeffrey Alan Cohan to permit transactions in securities comprising the FTSE 100 Index, expanding his previously restricted sales activities.
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