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June 9, 2015

Posted  January 28, 2016

Andrew L. Evans, a trader residing in Canada, agreed to pay more than $1 million to settle charges that through his firm Maritime Asset Management he shorted US stocks in companies planning follow-on offerings and then illegally bought shares in the follow-on offerings to lock in significant profits with little to no market risk. SEC

Tagged in: Market Manipulation and Trading Violations, Regulatory Violations, Securities Fraud,