Massachusetts securities regulator Galvin hits two broker-dealers and brokers with complaints
William Galvin
It's part of an industry sweep that targeted firms with an above-average number of reps with current misconduct reports on their records.
Massachusetts Secretary of the Commonwealth William Galvin filed complaints against two small firms and two of their brokers Thursday for allegedly deceptive and unethical conduct, marking the first results of a crackdown on rogue brokers, according to a statement from Mr. Galvin's office.
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