Lack of Due Diligence Archives - Page 6 of 6

Rex Securities Law
July 7, 2015
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Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence

Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 7, 2015 April 14, 2016

June 18, 2015 Dougherty & Company, a broker dealer and investment adviser with its principal office located in Minneapolis, Minnesota, consented to the entry of an Order Instituting Administrative and…

Rex Securities Law
February 26, 2015
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EDI Financial of Irving, Texas, Sanctioned Over Sale of Private Placements

EDI Financial of Irving, Texas, Sanctioned Over Sale of Private Placements https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 26, 2015 May 5, 2016

February 25, 2015 EDI Financial, Inc. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company failed to adopt and implement…