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: Securities Law Prof Blog

FINRA Won't Discipline Schwab for ARS Sales

By Securites Lawprof

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On February 11, FINRA notified Charles Schwab that it has decided not to bring a disciplinary action against it related to sales of auction rate securities. Schwab previously reported that in November 2009 FINRA issued a Wells notice in connection...

Full post as published by Securities Law Prof Blog on February 28, 2011 (boomark / email).

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