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Tag: supervisory failures

Blog, Securities Fraud Articles

Janney Montgomery Scott | Supervisory Failures

Janney Montgomery Scott Sanctioned for Supervisory Failures with Mutual Fund Charges According to the Massachusetts Securities Division,...

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Blog, Securities Fraud Articles

FINRA fines Next Financial for Supervisory Failures

In 2009, FINRA announced that it had fined NEXT Financial Group, Inc., headquartered in Houston, Texas, $1 million for supervisory...

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