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SEC Bars Former Commonwealth Broker Who Pled Guilty to Stealing $3.7...

The Securities and Exchange Commission has barred former long-time Commonwealth Financial broker, Gerald Allan Eaton, after he pled guilty to stealing more than $3.7...

State Regulators Propose Establishing Restitution Fund for Victims of Securities Law...

The board of North American Securities Administrators Association (NASAA) is seeking public comment on a proposal that would assist states in creating a restitution...