A broker-dealer settled charges with FINRA it sent confirmations to institutions' customers that "inaccurately reflected the capacity in which the firm acted."
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A broker dealer settled FINRA charges for failing to disclose to retail customers markup and markdown information on transactions in debt securities, including municipal securities and corporate and agency debt.
A broker-dealer settled charges with FINRA for failing to include required information on customer confirmations for municipal securities transactions.
A fund administrator settled charges with the SEC for failing to identify "red flags" of fraudulent behavior on the part of one of its hedge fund clients.
An investment adviser settled SEC charges for imposing excess management fees and failing to disclose conflicts of interest.