BOSC, Inc., of Tulsa, Oklahoma, was censured and fined $25,000 by the Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm sold (or bought) eight corporate bonds to (or from) customers and failed to sell (or buy) such bonds at a price that was fair within eight transactions. Letter of Acceptance, Waiver […]
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Tag Archives: BOSC Inc.
BOSC, Inc. Fined for Unfair Commissions
November 15, 2015 | Posted by : Guiliano Law Group | Excessive Markups, Failure To Supervise, Investment and Regulatory News | 0 Comments