Quantcast
The MFWire
Manage Email Alerts | Sponsorships | About MFWire | Who We Are

Subscribe to MFWire.com's News Alerts [click]

Rating:Florida BD Hopes to Settle in 2004 Not Rated 0.0 Email Routing List Email & Route  Print Print
Monday, August 23, 2004

Florida BD Hopes to Settle in 2004

by: Theresa Sim

Empire Financial, a broker-dealer under investigation by the SEC for mutual fund late trading and improper trades, has taken steps to reach a settlement with regulators, officials stated in a Friday filing.

"We believe that the Company has taken certain actions to facilitate a settlement with the SEC, and, therefore, we are optimistic that a resolution of the SEC investigation will occur during 2004," stated Donald A. Wojnowski, Jr., president of Empire.

Kevin Gagne, former chairman and chief executive of the broker-dealer, took a leave of absence in May and resigned in June.

In May, Empire Financial said all employees connected with the trading scandals were no longer at the firm.  

Stay ahead of the news ... Sign up for our email alerts now
CLICK HERE

0.0
 Do You Recommend This Story?



GO TO: MFWire
Return to Top
 News Archives
2024: Q4Q3Q2Q1
2023: Q4Q3Q2Q1
2022: Q4Q3Q2Q1
2021: Q4Q3Q2Q1
2020: Q4Q3Q2Q1
2019: Q4Q3Q2Q1
2018: Q4Q3Q2Q1
2017: Q4Q3Q2Q1
2016: Q4Q3Q2Q1
2015: Q4Q3Q2Q1
2014: Q4Q3Q2Q1
2013: Q4Q3Q2Q1
2012: Q4Q3Q2Q1
2011: Q4Q3Q2Q1
2010: Q4Q3Q2Q1
2009: Q4Q3Q2Q1
2008: Q4Q3Q2Q1
2007: Q4Q3Q2Q1
2006: Q4Q3Q2Q1
2005: Q4Q3Q2Q1
2004: Q4Q3Q2Q1
2003: Q4Q3Q2Q1
2002: Q4Q3Q2Q1
 Subscribe via RSS:
Raw XML
Add to My Yahoo!
follow us in feedly




©All rights reserved to InvestmentWires, Inc. 1997-2024
14 Wall Street | 20th Floor | New York, NY 10005 | P: 212-331-8968 | F: 212-331-8998
Privacy Policy :: Terms of Use