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: Securities Law Prof Blog

FINRA Fines Southwest Securities for Paying Consultants to Solicit Municipal Securities Business

By Securites Lawprof

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FINRA has fined Southwest Securities, Inc. of Dallas $500,000 for using paid consultants to solicit municipal securities business and for violations of other Municipal Securities Rulemaking Board (MSRB) rules. FINRA found that during the period from October 2006 through April...

Full post as published by Securities Law Prof Blog on March 07, 2011 (boomark / email).

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