Articles Posted in Santander Investment Securities Inc

Santander Investment Securities Inc. Sanctioned by Finra for Publishing and Distributing Inaccurate and Incomplete Research Reports to Institutional Investors
Iorio Law PLLC

On September 7, 2021, the Financial Industry Regulatory Authority (“FINRA”) and Santander Investment Securities Inc. (“Santander”) entered into an agreement whereby Santander consented to a censure and $175,000 fine after FINRA alleged that Santander published and distributed research reports to institutional investors that omitted required disclosures or included inaccurate disclosures. Iorio Altamirano LLP is investigating…

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