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Tag: Jefferies & Company fraud

Blog, Securities Fraud Articles

April 15, 2011

FINRA Fines Jefferies & Company Over Auction Rate Securities

The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Jefferies & Company, Inc. $1.5 million for...

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Blog, Securities Fraud Articles

November 11, 2010

FINRA Fines Firms For Overstating Trade Volume

In 2008, FINRA announced that it has fined 19 broker-dealers a total of $2.8 million for substantially overstating their advertised trade...

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