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The Robinson-Humphrey Company, LLC

The Robinson-Humphrey Company, LLC (CRD #723, Atlanta, Georgia) received a censure and fine of $10,000. According to the complaint, when dealing with new stock issues, the firm failed to obtain, in writing, the required information concerning the beneficial owners of investment partnership accounts, corporate accounts or money manager accounts. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C07990073)

Did The Robinson-Humphrey Company, LLC manage your investments?

 

 

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