Author: D. Daxton White
Woodrock Securities, L.P. fined by FINRA
Woodrock Securities, L.P. (CRD #133653, Houston, Texas) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was...
Robert W. Baird & Co. Incorporated fined by FINRA
Robert W. Baird & Co. Incorporated (CRD #8158, Milwaukee, Wisconsin) recently submitted a Letter of Acceptance, Waiver and Consent in...
Rafferty Capital Markets, LLC fined by FINRA
Rafferty Capital Markets, LLC (CRD #23682, Garden City, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which...
National Securities Corporation Fined
National Securities Corporation (CRD #7569, Seattle, Washington) recently submitted an Offer of Settlement in which the firm was censured...