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Articles Posted in National Market System (NMS) Securities

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J.H. Darbie & Co., Inc. Fined $25,000 by FINRA Over Best Execution Rule Violations

Iorio Altamirano LLP is investigating claims on behalf of J.H. Darbie & Co., Inc. customers after the firm was censured and fined $25,000 by FINRA for best execution rule violations. Specifically, FINRA found that the firm’s publicly available reports on its order routing practices for non-directed orders contained inaccurate and…

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