failure to supervise

Failing to Supervise Costs WFG Investments $700,000

By Tom Costello of Costello Law Group  After allegedly failing to supervise its representatives, the Financial Industry Regulatory Authority (FINRA) fined WFG Investments Inc. $700,000.00. FINRA stated that WFG had failed to supervise their representatives in six areas of supervision. FINRA also alleged a failure to conduct adequate due diligence with regard to […]

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