The Financial Industry Regulatory Authority has ordered five firms to pay $4.48 million for unfairly using bond proceeds to pay reimburse themselves for membership fees they paid to the California Public Securities Association, a lobbying group.
FINRA Orders Firms to Pay $4.48M
DEC 27, 2012 10:43am ET
You must be registered to post a comment. Click here to register.
Already registered? Log in here
Intercontinental Michigan Avenue, Chicago, IL
Union League Club, Philadelphia, PA
October 21-23, 2015San Francisco Marriott Marquis, San Francisco, CA