The Securities and Exchange Commission today charged a Houston-based broker with engaging in unauthorized and unsuitable trading on behalf of two Florida municipalities, putting them at risk of losing millions of dollars while he reaped commissions of more than $14 million for himself.The SEC’s complaint alleges that Harold H.
Posts Tagged ‘Interest Rate Changes’
SEC Charges Houston Broker Dealer with Defrauding Florida Municipalities
December 29th, 2009 
Before You Invest 
Posted in Finance Fraud 
Tags: Angeles Regional Office, Broker Dealer, Brokerage Firm, City Of Kissimmee, Complaint Alleges That, First Allied Securities Inc, Florida Municipalities, Fraudulent Practice, Interest Rate Changes, Investment Objectives, Orlando Fla, Personal Gain, Repurchase Agreements, Sec Charges, Securities And Exchange Commission, Trading Strategy, U S Treasury, U S Treasury Bonds, Water Authority, Zero Coupon 
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