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: Securities Law Prof Blog

FINRA Fines Zions Direct for Not Disclosing Conflicts in Online CD Auctions

By Securites Lawprof

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FINRA fined Zions Direct, Inc. $225,000 for failing to disclose the potential conflict of interest created by the participation of its affiliate, Liquid Asset Management (LAM), in online CD auctions conducted by Zions involving certificates of deposit (CDs) issued by...

Full post as published by Securities Law Prof Blog on August 25, 2010 (boomark / email).

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