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Broker-Dealer Settles FINRA Charges for Failing to Maintain Supervisory System for Mutual Fund Switches

A broker-dealer agreed to pay $75,000 to settle FINRA charges for failing to sufficiently monitor mutual fund switches.

Primary Sources

  1. FINRA Letter of Acceptance, Waiver and Consent (No. 2014038990602): Crown Capital Securities, L.P.

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Tags

Regulated Activities
Supervision / Compliance Fees to Customers
Regulated Entities
Broker-Dealers
Regulated Products
Investment Funds (as Regulated Product)
Sub-Product
Public Funds / RICs
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA