The Financial Industry Regulatory Authority has censured and fined four firms a total of $85,000, mostly for municipal securities violations of rules on pricing, trading, political contributions reporting, and employee qualifications.

The fines, which were disclosed in the monthly disciplinary actions released by FINRA yesterday, included $30,000 against Peacock, Hislop, Staley & Given Inc. in Phoenix, $20,000 against Neuberger Berman LLC in New York City, $20,000 against Sisung Securities Corp. in New Orleans, and $15,000 against M&T Securities Inc. in Buffalo, NY.

Subscribe Now

Independent and authoritative analysis and perspective for the bond buying industry.

14-Day Free Trial

No credit card required. Complete access to articles, breaking news and industry data.