Four firms agreed to pay $105,000 in fines for violations of pricing, political contribution, supervisory and other rules of the Municipal Securities Rulemaking Board.
The Financial Industry Regulatory Authority levied fines of: $57,500 for Monument, Colo.-based Advisors Asset Management Inc., $25,000 for New York-based Lebenthal & Co. LLC, $15,000 for New York-based Barclays Capital Inc., and $7,500 for Greenwich, Conn.-based Interactive Brokers LLC, according to its monthly disciplinary report released Friday.
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