SANTANDER SECURITIES LLC

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FINRA Sanctions Santander Securities LLC $6.4 Million for Supervisory Failures Related to Sales of Puerto Rican Bonds

WASHINGTON--(BUSINESS WIRE)--The Financial Industry Regulatory Authority (FINRA) announced today that it ordered Santander Securities LLC to pay approximately $4.3 million in restitution to certain customers who were solicited to purchase Puerto Rican ...

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Business Wire
October 13, 2015
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FINRA Sanctions Santander Securities LLC $6.4 Million for Supervisory Failures Related to Sales of Puerto Rican Bonds

The Financial Industry Regulatory Authority (FINRA) announced today that it ordered Santander Securities LLC to pay approximately $4.3 million in restitution to certain customers who were solicited to purchase Puerto Rican Municipal Bonds (PRMBs).

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Reuters
October 13, 2015
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FINRA Slams Santander Securities Over Puerto Rican Muni Bond Sales

The Financial Industry Regulatory Authority on Tuesday ordered Santander Securities LLC to pay more than $4 million in restitution to customers who were sold Puerto Rican municipal bonds, and also censured and fined the firm $2 million for supervisory ...

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Think Advisor
October 13, 2015
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Finra Fines Santander Unit Over Puerto Rico Bond Sales

The Financial Industry Regulatory Authority on Tuesday said Santander Securities LLC would pay a $2 million fine for supervisory failures related to sales of individual Puerto Rico bonds and closed-end funds, and for failing to reasonably supervise ...

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Wall Street Journal
October 13, 2015
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Finra Fines Santander Unit Over Puerto Rican Bond Sales

The Financial Industry Regulatory Authority ordered Santander Securities LLC to pay $4.3 million to certain customers solicited to buy Puerto Rican municipal bonds and an additional $2 million for supervisory failures linked to sales of the securities and ...

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NASDAQ
October 13, 2015
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JetBlue LIVE Lands in Puerto Rico Featuring a Special Performance by Puerto Rican Singer/Songwriter Pedro Capo

The company has two subsidiaries, Banco Santander Puerto Rico and Santander Securities LLC. Banco Santander Puerto Rico has been operating in Puerto Rico for more than 39 years. It offers a full array of services through 44 branches in the areas of ...

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Market Watch
November 19, 2015
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Santander Unit To Pay $6.4M Over Puerto Rico Bond Funds

The majority of Santander Securities LLC’s settlement, $4.3 million, will be paid out as restitution to customers who were solicited to buy the municipal bonds, while another $121,000 is earmarked for those who were impacted by the firm’s alleged ...

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Law 360
October 13, 2015
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Financial Services Weekly News - October 2015 #3

Comments on the proposals are due by Nov. 30. On Oct. 13, FINRA announced enforcement action against Santander Securities LLC (Firm), which was settled with a Letter of Acceptance, Waiver and Consent (AWC). According to the AWC, FINRA found that from Dec ...

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jdsupra.com
October 22, 2015
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Santander fined $6.4 million over Puerto Rican debt sales

The Financial Industry Regulatory Authority, or FINRA, said Santander Securities LLC would pay $4.4 million in restitution and $2 million in fines because its in-house risk-classification tool didn’t accurately reflect the risk of Puerto Rican debt for ...

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The Boston Globe
October 12, 2015
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Finra Fines Santander Unit Over Puerto Rico Bond Sales -- Update

The Financial Industry Regulatory Authority on Tuesday said Santander Securities LLC would pay a $2 million fine for supervisory failures related to sales of individual Puerto Rico bonds and closed-end funds, and for failing to reasonably supervise ...

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4 Traders
October 13, 2015
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Santander must pay $1.9 mln for losses in Puerto Rican notes -panel

The six investors filed their case against Guaynabo, Puerto Rico-based Santander Securities LLC last year seeking $5 million, according to a Financial Industry Regulatory Authority arbitration panel. They alleged that Santander was negligent, placed too ...

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Reuters
August 7, 2013
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María Calero

María Calero serves as the Senior Executive Vice President ... Banco Santander Puerto Rico, Santander Securities, LLC, Santander Insurance Agency, Universia PR, Inc., Santander Financial Services Inc., Santander Overseas Bank, Inc., and BST International ...

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Bloomberg
July 29, 2015
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Zamansky LLC Investigates Doral Financial Corp. And Its Officers And Directors For Potential Securities Fraud

The arbitrations are against UBS Financial Services of Puerto Rico, Santander Securities LLC, Oriental Financial Services Corp., Merrill Lynch and Popular Securities. Zamansky LLC is working with a local Puerto Rican law firm. To learn more about Zamansky ...

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Law Firm Newswire
May 13, 2014
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