FINRA Fines Academy Securities $30000 for Disclosure Failures

Feb 2, 2024

The veteran-owned investment bank Academy Securities has been censured and fined $30,000 by the Financial Industry Regulatory Authority (FINRA) for failing to file Form G-37 reports disclosing the extent of its underwriting base in a timely manner.

Academy Securities, an investment bank owned by veterans, has been reprimanded and penalized $30,000 by the Financial Industry Regulatory Authority for not submitting Form G-37 reports on time, which are required to disclose the scope of its underwriting activities.

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FINRA News and Information compiled by Costello Law Group, Securities Lawyer.

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