Finra Orders B-D to Pay $400K+ Over Failure to Supervise Reps – Financial Advisor IQ

Apr 4, 2022

Finra Orders B-D to Pay $400K+ Over Failure to Supervise Reps  Financial Advisor IQ

The Financial Industry Regulatory Authority says it has censured and fined a Colorado-based broker-dealer for alleged failures in supervising its registered representatives’ recommendations.

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FINRA News and Information compiled by Costello Law Group. See source for full story.

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