Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Sunday, May 7, 2017

Legend Securities Named Respondent for Various Claims


Legend Securities, Inc. (CRD #44952, New York, New York) was named a respondent in a FINRA complaint alleging various claims arising from failures in the firm’s compliance and supervisory systems and procedures. The complaint alleges that Legend...
https://www.securitieslawyer101.com/?p=36551

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