Bonds Archives - Page 2 of 2 - FrankowskiFirm Blog Posts

FINRA Fines Santander Securities LLC $6.4 Million For Supervisory Failures

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FINRA mandated that Santander Securities LLC pay about $4.3 million in restitution to a number of […]

by Richard FrankowskiFINRA, Press Releases & NewsOctober 13 2015 FINRA August 2015 Disciplinary Actions: Part I

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Dempsey Lord Smith, LLC and Jerry Eskel Dempsey, Jr. of Rome, Georgia submitted a letter of […]

by Richard FrankowskiFINRA, Press Releases & News, SECSeptember 15 2015 Edward Jones To Pay $20M For Bond Overcharges

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Edward D. Jones & Co. will pay $20 million to settle allegations by the Securities Exchange […]

by Richard FrankowskiPress Releases & News, SECAugust 14 2015 Broker-Dealers Fined for Wrongful Bond Trades

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Broker-Dealers Fined for Bond Trades Violations The SEC charged nearly two dozen companies and individuals who […]

by Richard FrankowskiSECJuly 21 2015