Tag: municipal securities losses

February 11, 2016

J.P. Turner & Company fined $140,000

The Financial Industry Regulatory Authority (FINRA) sanctioned J.P. Turner & Company for rule violations involving municipal...

Blog, Securities Fraud Articles

April 4, 2012

SEC Issues Alert on Municipal Securities

The Securities and Exchange Commission recently issued a Risk Alert on compliance measures to help broker-dealers fulfill their...

Blog, Securities Fraud Articles

October 20, 2010

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...

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