Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Monday, March 9, 2015

FINRA Fines LaSalle Securities For Private Placements


The Financial Industry Regulatory Authority (“FINRA”) and the Securities and Exchange Commission require that broker-dealers perform adequate due diligence before letting a registered representative recommend private placements made pursuant to R...
https://www.securitieslawyer101.com/2015/finra-fines-lasalle-securities-for-private-placements/

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