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: Securities Law Prof Blog

FINRA Fines J.P. Turner for Failures on Commissions Policy

By Securites Lawprof

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FINRA has imposed a $250,000 fine against J.P. Turner & Company, LLC of Atlanta, GA, for failing to have an adequate supervisory system designed to ensure that its registered representatives charged customers fair and reasonable commissions on stock trades. As...

Full post as published by Securities Law Prof Blog on October 29, 2008 (boomark / email).

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