Violation Tracker Individual Record
Company:Friedman, Billings, Ramsey & Co., Inc.
Date:August 25, 2004
Offense Group:financial offenses
Primary Offense:investor protection violation
The SEC announced settled enforcement actions against seven broker-dealers for failing to disclose they had received payments for providing research coverage of certain public companies, in violation of Section 17(b) of the Securities Act of 1933.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:Virginia
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:investment management
Source of Data:
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