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Tag: Spelman & Co.

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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Blog, Securities Fraud Articles

May 28, 2010

Reed Theodore Johnson fined and suspended by FINRA

FINRA recently announced that Reed Theodore Johnson, of Cuso Financial Services, L.P., has been fined $7,500 and suspended from association...

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