The Financial Industry Regulatory Authority fined four firms $106,000, and fined as well as suspended an individual, for municipal securities rule violations.
The firms and fines included: LPL Financial LLC with $36,000, Bishop, Rosen & Co., Inc. with $32,500, Regal Securities, Inc. with $25,000, and Landolt Securities, Inc. with $12,500. FINRA also fined former Sloan Securities Corp. trader Keli Bereton $3,750 for muni violations.
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