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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?

 

 

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