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The regulator has filed a disciplinary complaint, alleging that the broker-dealer engaged in self-dealing via millions of dollars of municipal revenue bonds.
The Financial Industry Regulatory Authority (FINRA) has filed a disciplinary complaint against Phoenix-based Lawson Financial Corp. Inc. (LFC) and Robert Lawson, LFC’s president and CEO, charging them with securities fraud in connection with the sale of “millions of dollars of municipal revenue bonds” to customers. FINRA further alleges in a statement that Robert Lawson and...
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