FINRA Sanctions Two Firms and Seven Individuals for Selling Private Placements Without Conducting a Reasonable Investigation

Autor:	Financial Industry Regulatory Authority (FINRA)
Zdroj:	Business Wire (English). 04/07/2011.
Abstrakt:	The Financial Industry Regulatory Authority (FINRA) today announced it has sanctioned two firms and seven individuals for selling interests in private placements without conducting a reasonable investigation. The companies whose securities were sold in these private placements were unrelated to the firms and individuals FINRA sanctioned. The companies ultimately failed, resulting in significant investor losses. [ABSTRACT FROM PUBLISHER]
Databáze:	Regional Business News
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