Archive

Tag Archives: Puerto Rican Bonds

Santander Securities Fined For Supervisory Failures

October 19, 2015 | Posted by : Guiliano Law Group | Bond Fraud, Failure To Supervise, Investment and Regulatory News, Securities Arbitration Claims | 0 Comments

Santander Securities, LLC, was censured, fined $2,000.000.00, and ordered to pay restitution of roughly $4,300,000.00 after consenting to Financial Industry Regulatory Authority (FINRA) findings that the firm had failed to have a reasonably designed supervisory system and set of procedures pertaining to sales of Puerto Rico Municipal Bonds to customers in Puerto Rico, and had […]

Disclaimer

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer. Questions or comments regarding the source or accuracy of information, including any subsequent developments, should be directed to: [email protected].

Archive

Santander Securities Fined For Supervisory Failures

For a Free Evaluation of Your Claim

Call Us Toll Free At:

(877) SEC-ATTY

All Inquires Are Confidential.

See Important Disclaimer

Categories