Securites Fraud Attorneys SHEPHERD, SMITH & EDWARDS, LLP
stock fraud online consultations
Skip to main content
about Our Stock Attorneys contact stock lawyers securities arbitration questions Securities fraud news Broker Misconduct Resources and links about investment protection en Espanol
Free Consultation

or call

EDI Financial, Inc.

EDI Financial, Inc. (CRD #15699, Dallas, Texas) received a censure and fine of $12,500. The firm was also ordered to pay $6,181, plus interest, in restitution to a public customer. According to the findings, the firm sold municipal bonds from its own account to that of a customer at aggregate prices that were not fair and reasonable. The regulators also found that the firm failed to establish and maintain a supervisory system adequately designed to ensure that the aggregate prices for municipal transactions were fair and reasonable. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C06030022)

Did EDI Financial, Inc. manage your investments?



If you would like one of our specialists to provide a free consultation, please let us know how to reach you:

 Your Name

 Your Phone

 Your Question / Situation