Posts In Municipal Securities

RBC Capital Markets consented to FINRA's findings and agreed to pay $1 million to settle charges ...

FINRA suspended former Citigroup Global Markets, Merrill Lynch, and Fidelity Brokerage Services rep ...

FINRA expelled Phoenix-based Lawson Financial Corporation, Inc. and barred President and CEO Robert ...

The FINRA Office of Hearing Officers suspended former Wedbush Securities associate Shiva Naby of the ...

FINRA suspended Purshe Kaplan Sterling Investments broker Larry M. Phillips of Woodland Hills, ...

FINRA fined, suspended and ordered former Edward Jones broker Dalas Lee Gundersen of Willows, ...