Kim J. Brown Hit with $110K Penalty for Unregistered Broker Fraud
Kim J. Brown faced SEC action for orchestrating fraudulent stock sales and acting as an unregistered broker, resulting in $110,000 in penalties and injunctions.
2 articles tagged with "unregistered brokers"
Kim J. Brown faced SEC action for orchestrating fraudulent stock sales and acting as an unregistered broker, resulting in $110,000 in penalties and injunctions.
Robert A. McDonald faced SEC action for role in $135 million payphone investment Ponzi scheme through Alpha Telcom, resulting in $3.8M penalty and injunction.