A broker settled FINRA charges for violating Qualification Examinations Rules of Conduct while taking the Securities Industry Essentials examination.
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A broker-dealer and general securities representative settled FINRA charges for failing to establish and enforce supervisory procedures to prevent unsuitable and excessive trading.
A broker-dealer settled FINRA charges for failing to take reasonable measures to prevent fraudulent wire transfers from customers' accounts.
A broker-dealer settled charges with FINRA for excessive trading in accounts and incurring "substantial losses" for customers.
A broker-dealer settled FINRA charges for failing to (i) collect investment profile information for customers participating in private placement offerings and (ii) file certain required corporate offering filings.