Tag: Securities Lawyer
RBC Capital Markets to pay $800,000 for Unfair Dealing in Municipal Bonds
SEC charges RBC and two execs with Municipal Bond Rules Violations According to a press release on September 17, the Securities and...
Santander Investment Securities Inc. Censured & Fined
FINRA Sanctions Santander Investment Securities for Inaccurate Disclosures According to the Financial Industry Regulatory Authority...