A municipal securities firm settled FINRA charges for failing to file complete and timely quarterly reports with the Municipal Securities Rulemaking Board and for failing to establish, maintain, and enforce an adequate supervisory system.
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New York Attorney General Leticia James urged any New York resident affected by the recent crash in the cryptocurrency market to file a complaint with the state's Office of the Attorney General.
A broker-dealer settled FINRA charges for attempting to influence the market for securities offered by the firm’s corporate affiliates and investment banking clients.
A broker-dealer settled FINRA charges for failing to conduct reasonable due diligence in connection with a private-placement offering and for failing to maintain the minimum net capital required to operate as a securities business.
A broker-dealer settled FINRA charges for supervisory failures over sales of higher fee mutual fund share classes.