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Articles Posted in Unit Investment Trusts

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FINRA Fines H. Beck, Inc. $ 425,000 to Settle Sales Practice Violations Regarding Unit Investment Trusts

On March, 30, 2015, H. Beck Inc. (“H. Beck”) submitted a Letter of Acceptance Waiver, and Consent (“AWC”) to settle allegations of sales practice violations by the Financial Industry Regulatory Authority (“FINRA”).  FINRA alleged that: 1) H. Beck failed to establish a reasonable supervisory system and written supervisory procedures to…

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