Edward Jones to Pay $20M for Overcharging Customers in Municipal Bond Sales
The Securities and Exchange Commission has charged brokerage firm Edward Jones and the former head of its municipal underwriting desk have agreed to settle charges that they overcharged customers in new municipal bonds sales. It’s the SEC’s first case against an underwriter for pricing-related fraud in the primary market for ...
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ArticleDOJ wants less monitoring, more self-disclosure and fine reductions, Galeotti says
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