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: Securities Law Prof Blog

FINRA Fines Underwriters for Miscommunications to Customers in Vonage IPO

By Securites Lawprof

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FINRA fined Citigroup Global Markets, UBS Securities and Deutsche Bank Securities a total of $425,000 ? and ordered the firms to make payments to customers that could total $420,000 ? in connection with the firms' failure to adequately supervise communications...

Full post as published by Securities Law Prof Blog on September 22, 2009 (boomark / email).

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