THE Securities and Exchange Commission said on Monday it formed a special panel that would conduct a hearing on the case of brokerage firm DW Capital, Inc. (DWCI), after it received a complaint alleging that the brokerage had engaged in unauthorized trading of stocks.
The complaint was filed by Valerie Gaisano-Sebastian against DWCI for allegedly engaging in unauthorized, fraudulent, and deceitful acts by selling her shares of stocks without her knowledge and consent.
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