Tag: municipal securities
FINRA Outlines Investments They are Watching Closely in 2012
The Financial Industry Regulatory Authority (FINRA) outlined a list of investment products that they will be watching closely in 2012...
Emmet & Co Inc. fined by FINRA
Emmet & Co., Inc. (CRD #15993, Far Hills, New Jersey) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...
B.C. Ziegler and Company fined by FINRA
B.C. Ziegler and Company (CRD #61, Chicago, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured...
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...
FINRA Fines Edward Jones For Supervisory Failures
FINRA recently announced that it has fined Edward D. Jones & Co., L.P. of St. Louis $900,000 for its failure to timely deliver official...
