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: Securities Law Prof Blog

FINRA Fines Leonard & Co. for Penny Stock Violations

By Securites Lawprof

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FINRA announced today that it has fined Leonard & Co. of Troy, MI, $225,000 for numerous violations, including the illegal sale of more than two million shares of penny stock on behalf of customers. FINRA also required the firm to...

Full post as published by Securities Law Prof Blog on January 13, 2009 (boomark / email).

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