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Articles Posted in Convertible securities

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SEC CHARGES CONVERTIBLE NOTE DEALER WITH FAILURE TO REGISTER

What is a securities dealer?  The answer is more complicated than people might think.  On August 2, 2022, the SEC announced that it had reached a settlement with a Long Island firm, Crown Bridge Partners, LLC (“Crown Bridge”) and the two brothers who owned the firm Soheil and Sepas Ahdoot,…

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