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: Securities Law Prof Blog

FINRA Fines Banorte Securities Int'l for Unsuitable Class B Stock Sales

By Securites Lawprof

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FINRA imposed a $1.1 million fine on Banorte Securities International, Ltd. for unsuitable sales of Class B shares in off-shore mutual funds as well as failing to have adequate supervisory systems to monitor those sales. As part of this settlement,...

Full post as published by Securities Law Prof Blog on October 16, 2008 (boomark / email).

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