Stock brokers - misuse of clients’ funds / securities - In the ...

Stock Brokers' Membership Suspension Deemed Excessive for Misusing Client Funds; No Grave Consequences Found.

March 11, 2019

Case Laws Companies Law AT

Stock brokers - misuse of clients’ funds / securities - In the absence of any allegation of the violation being repetitive in nature and, in the absence of any finding that the violations had a high impact or that the violations were grave in nature, having serious consequences, we find that the imposition of suspension of trading membership of 5 days was excessive and unwarranted.

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Stock brokers - misuse of clients’ funds / securities - In the ...

Stock Brokers' Membership Suspension Deemed Excessive for Misusing Client Funds; No Grave Consequences Found.

March 11, 2019

Case Laws Companies Law AT

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