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KCD Financial Fined For Unregistered Securities Sales

August 25, 2016  |   Posted by :   |   Investment and Regulatory News, Unregistered Securities   |   0 Comments

KCD Financial, headquartered in De Pere, Wisconsin, was censured and fined $73,000.00 by Financial Industry Regulatory Authority (FINRA) per a National Adjudicatory Council Decision stating that the firm engaged in the sales of unregistered securities and failed to supervise staff who sold such unregistered securities. Department of Enforcement v. KCD Financial, Inc., No. 2011025851501 (Aug […]

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