FINRA News Release - Tuesday, September 22, 2009
FINRA Fines Citigroup Global Markets, UBS and Deutsche Bank $425,000, Orders Customer Restitution for Supervisory Failures in Vonage IPO
Violations Centered on Outsourcing of Communications with Customers; Customer Restitution Payments Could Reach $420,000. Read more
UPDATE 2-Regions Fin'l may face SEC charges on mutual funds
Wed Jul 15, 2009 9:57am EDT
* Toxic debt caused bond funds to lose much of value
* Regions says market caused losses, cooperating with SEC
* Shares rise nearly 2 pct (New throughout, adds byline)
By Jonathan Stempel - Read more
