Tag Archives: Alton Securities Group Inc.

Alton Securities Group Fined For Excessive Markups

Alton Securities Group, Inc.¬†located in Alton, Illinois, was censured and fined $75,000.00 by Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm had an inadequate supervisory system pertaining to non-traditional exchange traded funds and non-traditional mutual funds, caused unsuitable recommendations to be made to customers, and caused excessive markups/markdowns on municipal debt […]

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