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: Securities Law Prof Blog

FiNRA Fines Southwest Securities and Expels its Correspondent Firm for Improper Short Sales

By Securites Lawprof

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FINRA announced today that it fined Southwest Securities, Inc., of Dallas, $650,000 for deficiencies in due diligence, risk assessment and written supervisory procedures that permitted one of its correspondent firms, Cutler Securities, to lose over $6 million in one day...

Full post as published by Securities Law Prof Blog on March 22, 2011 (boomark / email).

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