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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