The Financial Industry Regulatory Authority has fined three Chicago-based firms a total of $40,000 for violations of muni trade reporting and other rules.
FINRA Fines 3 Firms $40,000 for Muni Violations
October 21-23, 2015San Francisco Marriott Marquis, San Francisco, CA
Omni Providence Hotel, Providence, RI
November 18-20, 2015Westin Denver Downtown, Denver, CO