ERC721

The Financial Industry Regulatory Authority ordered 12 firms to pay restitution totaling more than $4 million and fines totaling more than $2.6 million for failing to apply available sales charge discounts to customers' purchases of Unit Investment Trusts (uits), and related supervisory failures. For more info visit https://www.finra.org/media-center/news-releases/2015/finra-sanctions-12-firms-67-million-failing-apply-sales-charge

Name

641

Owner

0x3372D38A7e703601d27a7D2E0E96f75B288E7643

ID#641

Rarity

MID:43%

Parent Company

Fifth Third Bancorp

EX:MAX

Company

Fifth Third Securities, Inc.

EX:MAX

Violation

Financial Market Violations

X-HI:14%

Penalty

$963,534.00

EX:MAX

Year

2015