Violation Tracker Individual Record
NASD fined Boston Capital Securities, Inc. (BCSI) $1.2 million for violations relating to the firm's public offerings of tax-advantaged limited partnership interests. NASD also charged BCSI for supervisory deficiencies relating to the firm's underwriting of public securities offerings.
NASD Fines Boston Capital Securities $1.2 Million for Corporate Financing Disclosure and Compensation Violations, PR Newswire, March 21, 2006 (via Nexis).
FINRA is a securities industry self-regulatory body authorized by the federal government. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).