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.
The SEC fined a broker-dealer and its former executive for disclosing confidential information in advance of block sales of securities.
A broker-dealer settled charges with FINRA for failing to include required information on customer confirmations for municipal securities transactions.
Before the United States District Court for the Southern District of New York, the SEC charged a broker-dealer for failing to protect its customers' trading information.