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

by

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.

READ MORE >

Author:
Bond Buyer

*****************

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

0 Comments