Violation Tracker Individual Record
Company:Needham & Company, 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
Source of Data:
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