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Alton Securities Group Fined For Excessive Markups

February 23, 2016 | Posted by : Guiliano Law Group | Excessive Markups, Failure To Supervise, Investment and Regulatory News, Securities Arbitration Claims | 0 Comments

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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Alton Securities Group Fined For Excessive Markups

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