Finra smacks National Securities with $663,000 penalty over private placement
The agency said Boca Raton, Florida-based National Securities deceived investors in December 2017 and January 2018 about the price of shares in the private placement offering.
The Financial Industry Regulatory Authority Inc. said Wednesday that it had sanctioned National Securities Corp. $663,000 for deceiving investors in December 2017 and January 2018 about the price of shares as part of a private placement offering.
National Securities Corp., which has 630 register
Learn more about reprints and licensing for this article.
