An offshore stock broker has agreed to disgorge $253,346 and pay a civil money penalty of $15,000 to settle regulatory action brought by the U. S. Securities and Exchange Commission.
The size of the disgorgement represents commissions that Turks and Caicos Islands-based Temple Securities Ltd. earned through the sale of unregistered securities in Allixon International Corp., stated the SEC.
Temple Financial settles SEC action
18 years ago
Topics
Fraud Investment Turks & Caicos Islands USAKeywords
Allixon International Corp. David Knipe Gregory Greatrex PSI-TEC Holdings, Inc. Temple Securities Ltd.