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Tag Archives: Registered Representative
SEC Charges Registered Representative David Rothman Stealing Investor Funds
SEC v. David L. Rothman, Case No. 12-cv-5412-BMS (E.D. Pa.). On September 24, 2012, the SEC announced fraud charges against David Rothman, a registered representative and minority owner of Rothman Securities, Inc., a broker-dealer registered with the SEC. For several years Rothman provided … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, Registered Representative, SEC, Securities Act, Securities Exchange Act
