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Securities

Mar. 17, 2012

SEC takes a stand against secondary market trading company

Despite experience as a securities lawyer and efforts to stay under the radar of regulators, the founder of an online marketplace for private company stock trading eventually ran afoul of laws governing stock sales.


By Jill Redhage


Daily Journal Staff Writer


Despite experience as a securities lawyer and efforts to stay under the radar of regulators, the founder of an online marketplace for private company stock trading eventually ran afoul of laws governing stock sales.


In an administrative proceeding announced Wednesday the Securities and Exchange Commission charged San Bruno-based SharesPost and its founder, Gregory Brogger, of Park City, Utah, w...

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