Tag: IFS Securities
SEC Charges Managing Director Who Bankrupted IFS Securities
The Securities and Exchange Commission has charged Keith Wakefield, a former managing director and head of fixed income trading at IFS Securities Inc., an...
Former Broker Pleads Guilty to Fraud and Lying to the SEC
Richard Cody, a former investment adviser and broker who was previously charged by the Securities and Exchange Commission with defrauding Massachusetts retirees, pled guilty...