SEC Bars Broker For Aiding Brothers’ Securities Fraud
William served as director of compliance at Trident Partners, a registered broker-dealer in Long Island, New York, from June 2004 through September 2005 and again from October 2007 until September 2014. During the relevant period, William was also the firm’s anti-money laundering officer, the SEC states. The SEC charges that the respondent used his “privileged…
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