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J.P. Turner Fined $65,000 by FINRA

J.P. Turner Fined $65,000 by FINRA 150 150 Rex Securities Law

 

J.P. Turner & Company was fined $65,000 by the Financial Industry Regulatory Authority (FINRA) in May 2014 and the firm consented to the entry of findings that it failed to establish and enforce written supervisory procedures designed to achieve compliance with applicable securities laws and regulations, including laws and regulations prohibiting insider trading and NASD Rule 3050, requiring that registered representatives have duplicate statements for personal brokerage accounts sent to their employer member firms. FINRA Case# 2011025756301.

Rex Securities Law , located in Boca Raton, FL, provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Rex Securities Law

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