SEC Says Multiple Violations Led To Multiple Fines In Certiorari Objection

(September 29, 2023, 2:22 PM EDT) -- WASHINGTON, D.C. — The Securities and Exchange Commission says the U.S. Supreme Court should deny a petition for a writ of certiorari filed by three municipal bond traders who were found to be unregistered brokers as a result of an SEC complaint, arguing in its opposition brief that neither a California federal court nor the Ninth Circuit U.S. Court of Appeals erred in ordering and affirming civil penalties against the traders....