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Essex Securities Censured and Fined By FINRA Over Mutual Fund Sales

February 11th, 2015|

Essex Securities LLC (CRD #46605, Topsfield, Massachusetts)

was censured, fined $20,000, ordered to pay $6,009.70, plus interest, in restitution to clients […]

FINRA Suspends Former NEXT Financial Broker, for Two Years for Improper Trading in Customer Accounts

July 21st, 2011|

WASHINGTON —It was announced July 20, 2011, on FINRA’s website that The Financial Industry Regulatory Authority (FINRA) has suspended William Bailey, […]