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Tag: J.J.B. Hilliard

Blog, Securities Fraud Articles

October 2, 2015

22 Firms Sanctioned for Improper Bond Offerings

The Securities and Exchange Commission (SEC) has issued enforcement actions against 22 municipal underwriting firms for violations in...

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Blog, Securities Fraud Articles

October 29, 2010

FINRA Fines For Mutual Fund Sales Practices

In or about 2009, FINRA fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA’s (then...

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