FINRA charges Fusion Analytics Securities with Fraud

Mar 21, 2022

A brokerage firm that terminated its registration after its CEO got barred from the industry and its affiliated RIA got hit with SEC charges now faces a new FINRA enforcement case as well.

Coral Springs, Florida-based Fusion Analytics Securities made “material misrepresentations and omissions” to clients when selling $1.8 million worth of private bonds to at least 11 clients between January 2017 and August 2019, according to FINRA’s March 7 disciplinary action.

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FINRA News and Information compiled by Costello Law Group.