FINRA Fines Three Firms and Bars Former Principal

Hume, Lynn
July 2010
Bond Buyer;7/19/2010, Vol. 373 Issue 33351, p4
Trade Publication
The article reports on the move of the Financial Industry Regulatory Authority to fine three firms a total of 92,500 dollar for violations of municipal rule and blocking a former principal of a firm from the market for falsified trade data in the U.S.


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