corporate bonds
Tag Archive

• Deutsche Bank Securities Fined

  March 7, 2013 Comments (0) Blog, Securities Fraud

  Deutsche Bank Securities Inc. (CRD #2525, New York, New York) recentlysubmitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $175,000, and required to pay $10,314.44, plus interest, in restitution to customers. Without admitting or denying the findings, the firm consented to the

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• Securities Fraud Investigation Involving 1861 Capital Discovery Domestic Fund

  September 20, 2010 Comments (0) Blog, Securities Fraud

  The White Law Group is investigating possible securities fraud involving the marketing and sale of the 1861 Capital Discovery Domestic Fund. Specifically, we are investigating whether brokerage firms, including UBS, misrepresented the safety and security of the 1861 Capital Discovery Domestic Fund. 1861 Capital

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• Penson Financial Services, Inc., in Dallas, Texas, fined by FINRA for securities violations related to its sale of corporate bonds.

  September 17, 2009 Comments (2) Blog, Securities Fraud

  FINRA recently announced that Penson Financial Services, Inc. has been fined $38,000 and ordered to pay $22,663, plus interest, in restitution to customer, and required to revise its written supervisory procedures with respect to TRACE reporting requirements. Without admitting or denying the findings, Penson Financial

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• National Securities Corporation, in Seattle, Washington, fined by FINRA for securities violations related to its sale of corporate bonds.

  September 17, 2009 Comments (0) Blog, Securities Fraud

  FINRA recently announced that National Securities Corporation has been fined $105,000 and required to pay $15,697.91, plus interest, in restitution to investors. Without admitting or denying the findings, National Securities Corporation consented to the findings that it sold or bought corporate bonds to or from

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