On May 7, 2009, the Financial Industry Regulatory Authority announced that it had entered into final agreements with NatCity Investments, Inc., M&T Securities, Inc., Janney Montgomery Scott LLC and M&I Financial Advisors, Inc., to settle charges relating to the sale of Auction Rate Securities (“ARS”).
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RegisterFINRA settles auction rate securities violations with four firms
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USA
June 1 2009
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Tom Anderson
In-House Counsel
Aveva Inc
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