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BRIEF-FINRA orders Purshe Kaplan Sterling to pay $3.4 mln restitution to native american tribe
February 22, 2017 / 5:10 PM / 7 months ago

BRIEF-FINRA orders Purshe Kaplan Sterling to pay $3.4 mln restitution to native american tribe

Feb 22 (Reuters) - Financial Industry Regulatory Authority:

* Orders Purshe Kaplan Sterling Investments to pay $3.4 million in restitution to Native American tribe

* PKS neither admitted nor denied charges, but consented to entry of FINRA’s findings

* Settlement resolves charges brought in a February 2016 FINRA complaint against Purshe Kaplan Sterling Investments (PKS) Source text for Eikon: (Bengaluru Newsroom: +91 806 749 1136)

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