Tag: Hedge Funds
M.D. Sass Securities, L.L.C. fined by FINRA
M.D. Sass Securities, L.L.C. (139760, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which the firm was...
Bear Stearns & Co., Inc. (n/k/a J.P. Morgan Securities, Inc.) fined and censured by FINRA for securities violations
FINRA recently announced that Bear Stearns & Co., Inc. (n/k/a J.P. Morgan Securities, Inc.) has been fined $500,000 and censured for...