Byline: Jonathan Hemmerdinger WASHINGTON a David Lerner Associates Inc. has agreed to pay about $4.3 million in fines and restitution for charging excessive markups on transactions of municipal bonds and collateralized-debt obligations between 2005 and 2012. The payments, announced Monday by the ...
Read this article at David Lerner Associates Faces Tough Sanctions from FINRA over Muni Rule, Other Violations
Read this article at David Lerner Associates Faces Tough Sanctions from FINRA over Muni Rule, Other Violations