Author: D. Daxton White
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...
The Firm of Cantor Fitzgerald & Co. Fined by FINRA
Cantor Fitzgerald & Co. (CRD #134, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...
Brean Murray, Carret & Co. Fined by FINRA
Brean Murray, Carret & Co., LLC (CRD #23723, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which...
