Thursday, May 10, 2007
Phoenix Settles NASD Case
The Phoenix Cos. disclosed Wednesday that one of its units has agreed to a censure and $8,000 fine by the National Association of Securities Dealers to settle allegations of violating reporting rules for securities trades.
PXP Securities Corp., part of the Hartford-based Phoenix Cos., didn't admit or deny any NASD findings and agreed to revise its supervisory procedures. The agreement was disclosed in a company regulatory filing Wednesday.
Phoenix Settles NASD Case
Source: Hartford Courant
PXP Securities Corp., part of the Hartford-based Phoenix Cos., didn't admit or deny any NASD findings and agreed to revise its supervisory procedures. The agreement was disclosed in a company regulatory filing Wednesday.
Phoenix Settles NASD Case
Source: Hartford Courant
Permalink posted by armandn @ 12:33 PM 
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