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KBCM Ordered to Cease-and-Desist, Censured and Fined Following Asset Overstatement

In the Matter of KeyBanc Capital Markets Inc., Respondent

2016
$175,000

Respondent was found to have overstated its assets by $13,679,000 in multiple filings, after its former CFO directed that unsubstantiated “plug” entries be made to one or more accounts in its general ledger, in order to complete the monthly closing-of-the-books.

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KBCM Ordered to Cease-and-Desist, Censured and Fined Following Asset Overstatement

In the Matter of KeyBanc Capital Markets Inc., Respondent

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