municipal securities losses
Tag Archive

February 11, 2016

J.P. Turner & Company fined $140,000

The Financial Industry Regulatory Authority (FINRA) sanctioned J.P. Turner &

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April 4, 2012

SEC Issues Alert on Municipal Securities

The Securities and Exchange Commission recently issued a Risk Alert on compliance

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October 20, 2010

FINRA Fines Edward Jones For Supervisory And Recordkeeping Failures.

FINRA recently announced that it has fined Edward D. Jones & Co., L.P. of St.

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