A broker-dealer settled FINRA charges for failing to sufficiently supervise short-term trade recommendations made by one of its registered representatives.
News & Insights
32 News Results
A broker-dealer settled FINRA charges for failing to supervise several registered representatives who recommended potentially high-risk securities to customers without assessing suitability.
A broker-dealer settled FINRA charges for failing to adequately supervise a registered representative's participation in private securities transactions.
A broker-dealer settled FINRA charges for failing to adequately supervise the suitability of registered representatives' trading activity.
A broker-dealer settled FINRA charges for failing to conduct reasonable due diligence in connection with a private-placement offering and for failing to maintain the minimum net capital required to operate as a securities business.