SEC upholds FINRA ruling on firm that charged excessive mark-ups

Apr 20, 2022

The Securities and Exchange Commission has sustained the Financial Industry Regulatory Authority’s disciplinary action against J.W. Korth & Company, after finding the firm violated muni rules by charging excessive mark-ups in 38 sales of municipal securities.

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Author:
Bond Buyer

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

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