ERC721

NASD fined three firms-and expelled a fourth-for violations relating to trading in corporate high yield bonds. All four firms were cited for charging excessive markups or markdowns in bond trades, as well as for supervision violations. For more info visit https://www.globalcustodian.com/nasd-fines-three-firms-6-75-million-expels-a-fourth-firm-for-corporate-high-yield-bond-trade-violations-each-ordered-to-pay-customers-restitution-exceeding-1-1-million/

Name

1340

Owner

0xD62c014B45a35F78bcf465d75ADa029C94fdabf9

ID#1340

Rarity

MID:39%

Parent Company

Royal Bank of Canada

EX:1%

Company

RBC Dain Rauscher, Inc.

EX:MAX

Violation

Financial Market Violations

X-HI:14%

Penalty

$1,158,000.00

EX:MAX

Year

2005