Finra Fines Firm $660K+ Over Private Offering Sales – Financial Advisor IQ

Apr 22, 2022

The National Securities Corp. allegedly misled investors about the availability of shares in a pre-initial public offering company. The Financial Industry Regulatory Authority says it has censured and fined a broker-dealer firm over its handling of private offerings.

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