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: Securities Law Prof Blog

Edward D. Jones Settles FINRA Charges for Failure to Deliver Official Statements in Municipal Securities Sales

By Securites Lawprof

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FINRA announced today that it fined Edward D. Jones & Co., L.P. of St. Louis $900,000 for its failure to timely deliver official statements to customers who purchased new-issue municipal securities and related supervisory and recordkeeping failures. With limited exceptions,...

Full post as published by Securities Law Prof Blog on April 09, 2009 (boomark / email).

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