Tag: Needham & Company losses
FINRA Fines Firms For Overstating Trade Volume
In 2008, FINRA announced that it has fined 19 broker-dealers a total of $2.8 million for substantially overstating their advertised trade...
In 2008, FINRA announced that it has fined 19 broker-dealers a total of $2.8 million for substantially overstating their advertised trade...