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Securities: Enforcment Action Archives
2011
Secretary Galvin Accuses Three
Massachusetts Investment Advisers
of Investor Fraud
December 14, 2011
Secretary Galvin Charges
Wellesley Man with Defrauding
Ailing Elderly Woman
November 16, 2011
Secretary Galvin Charges
BNY Mellon with Defrauding State Pension Funds of Millions in Foreign Exchange Transactions
October 26, 2011
Secretary Galvin Charges
West Boylston Man With
Defrauding Older Investors
August 1, 2011
Goldman Sachs Fined
$10 Million; Halts The Huddles
June 9, 2011