Tag: securities
National Securities Corporation Fined
National Securities Corporation (CRD #7569, Seattle, Washington) recently submitted an Offer of Settlement in which the firm was censured...
The Firm of Cantor Fitzgerald & Co. Fined by FINRA
Cantor Fitzgerald & Co. (CRD #134, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...