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Securities Law >
New Settlements and Verdicts

SEC Wins in Suit for Unlawful Control of Registered Broker-Dealer Against Crow and Duncan Capital Group
The SEC’s first amended complaint ("complaint") alleges that from November 2003 through at least January 2005, MacGregor was an employee of, and associated with, Duncan Capital LLC, a broker-dealer registered with the SEC, while MacGregor was not registered with the National Association of Securities Dealers ("NASD"). The complaint further alleged…
Date of ruling:
11/14/2008
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