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What is Vickers v. SEC: Broker Registration Revoked about?

The SEC revoked the broker-dealer registration of Merritt & Co. for fraud in the sale of stock and found that Henry G. Vickers caused the revocation. The hearing examiner concluded Vickers was not a controlling person because he had no financial interest, but the SEC noted control can be determined by other factors. The SEC found Vickers was a controlling person based on his family and business ties to Merritt & Co., which largely consisted of his former firm, and his frequent participation in Merritt

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