A broker-dealer settled FINRA charges for failing to take reasonable measures to prevent fraudulent wire transfers from customers' accounts.
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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.
A broker-dealer settled FINRA charges for failing to implement a supervisory system reasonably designed to monitor the suitability of recommendations in complex, non-traditional exchange-traded products.
A broker-dealer settled FINRA charges for failing to reasonably supervise suitability recommendations in connection with the offering of private placements and filing required documents late.