JMP Securities Archives

Robert Rex, Esq.
August 18, 2015

JMP Securities Fined $125,000 Over Failure to Disclose Conflict of Interest

JMP Securities Fined $125,000 Over Failure to Disclose Conflict of Interest https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g August 18, 2015 August 18, 2015

August 17, 2015, JMP Securities LLC, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010 through…