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SEC charges broker-dealer, transfer agent in micro-cap fraud

( February 20, 2019, 22:22 GMT | Official Statement) -- MLex Summary: The US Securities and Exchange Commission charged broker-dealer Spartan Securities Group, transfer agent Island Capital Management and three individuals for their roles in creating "blank check" companies from 2009 to 2014. “Broker-dealers are critical gatekeepers protecting the integrity of our markets, with obligations under our rules to fulfill that role,” said Eric Bustillo, director of the SEC’s Miami office.Statement follows below. ...

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