USA: Administrative Proceedings against Ronald S Bloomfield
Posted by nileshkokane on 21 July, 2010
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This item was filled under [ Financial Regulators, USA ]
On April 27, 2010, the Securities and Exchange Commission instituted public administrative and cease and desist proceedings against Ronald S Bloomfield, Robert Gorgia, Victor Labi, John Earl Martin Sr., and Eugene Miller for failing to conduct a “reasonable inquiry” before allowing their customers to sell stock to the public in violation of the registration provisions of the federal securities laws.
The complete article can be found at the U.S. Securities and Exchange Commission.
