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Concorde Investment Services, LLC

Date:

August 22, 2023

Type of alert:

FINRA AWC  

Concorde Investment Services, LLC entered into a FINRA Acceptance, Waiver, and Consent. Concorde Investment Services allegedly sold three private placement offerings without having established pre-existing, substantive relationships with the offeree. During this time, Concorde’s supervisory system was not in compliance with rules and regulations. Concorde Investment Services consented, without admitting or denying the claims, to a censure and fees.

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