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Re: Renee post# 2224

Monday, 03/30/2015 9:46:48 AM

Monday, March 30, 2015 9:46:48 AM

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SEC complaint

http://www.sec.gov/litigation/complaints/2015/comp-pr2015-51.pdf

SEC Charges New York-Based Brokerage Firm With Faulty Underwriting of Public Offering by China-Based Company

FOR IMMEDIATE RELEASE
2015-51
Washington D.C., March 27, 2015 — The Securities and Exchange Commission today announced charges against a New York-based brokerage firm responsible for underwriting a public offering despite obtaining a due diligence report indicating that the China-based company’s offering materials contained false information.

[...]
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http://www.sec.gov/news/pressrelease/2015-51.html#.VRlQ2vzF9Gs
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