ERC721

The Financial Industry Regulatory Authority fined Southwest Securities, Inc. Of Dallas $500,000 for using paid consultants to solicit municipal securities business and for violations of other Municipal Securities Rulemaking Board (MSRB) rules. For more info visit https://www.finra.org/media-center/news-releases/2011/finra-fines-southwest-securities-500000-paying-former-texas-municipal

Name

1027

Owner

0xd36eCaA12a7349A20230A6b6F4AeC070f875Eabc

ID#1027

Rarity

X-LO:76%

Parent Company

Hilltop Holdings

EX:MAX

Company

Southwest Securities, Inc.

EX:MAX

Violation

Financial Market Violations

X-HI:14%

Penalty

$500,000.00

EX:1%

Year

2011