Month: October 2012
RBC Capital Markets Corporation nka RBC Capital Markets, LLC fined by FINRA
RBC Capital Markets Corporation nka RBC Capital Markets, LLC (CRD #31194, New York, New York) recently submitted a Letter of Acceptance,...
Scott & Stringfellow, LLC fined by FINRA
Scott & Stringfellow, LLC (CRD #6255, Richmond, Virginia) recently submitted a Letter of Acceptance, Waiver and Consent in which the...
Merrimac Corporate Securities, Inc. fined by FINRA
Merrimac Corporate Securities, Inc. (CRD #35463, Altamonte Springs, Florida) recently was fined $18,500. The National Adjudicatory Council...
First Midwest Securities, Inc. fined by FINRA
First Midwest Securities, Inc. (CRD #21786, Bloomington, Illinois) recently submitted a Letter of Acceptance, Waiver and Consent in which...
Sanders Morris Harris fined by FINRA
Sanders Morris Harris, Inc. (CRD #20580, Houston, Texas) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...
Garden State Securities, Inc. fined by FINRA
Garden State Securities, Inc. (CRD #10083, Red Bank, New Jersey) recently submitted a Letter of Acceptance, Waiver and Consent in which...
