Concorde Investment Services, LLC

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.