SEC bars former B-D CCO over fraud

Seth Leyton aided and abetted a scheme to defraud investors that involved obtaining either CMOs or cash to purchase CMOs. The defendants obtained more than $18 million in cash or CMOs from more than 18 investors nationwide

To read this article, you need to sign in.

You should only be asked to sign in once. Not the case? Click here

New to Regulatory Compliance Watch?

Register now to read this article and more for free.