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: Securities Law Prof Blog

Three Firms Settle ARS Charges with FINRA

By Securites Lawprof

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FINRA announced that it has reached agreements in principle with City National Securities (CNS), of Beverly Hills, CA, BNY Mellon Capital Markets, LLC of New York and Harris Investor Services, Inc. of Chicago, to settle charges relating to the sale...

Full post as published by Securities Law Prof Blog on October 26, 2008 (boomark / email).

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