Finra smacks National Securities with $663,000 penalty

Apr 21, 2022

The agency said Boca Raton, Florida-based National Securities deceived investors in December 2017 and January 2018 about the price of shares in the private placement offering.
The Financial Industry Regulatory Authority Inc. said Wednesday that it had sanctioned National Securities Corp. $663,000 for deceiving investors in December 2017 and January 2018 about the price of shares as part of a private placement offering.

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Author: Bruce Kelly

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FINRA News and Information compiled by Costello Law Group. See the source for the full story.

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