May 30, 2020
In March, 2020, FINRA fined $45,000 and censured a retail broker for lack of procedures to identify red-flags related to low-priced securities trading. Similarly, disciplinary actions were brought against 2 introducing brokers in 2018 where both were fined heavily, over $1M, for not having supervision and oversight of low-priced securities to detect pump-n-dump schemes, and...
Read More
We are using cookies to give you the best experience. You can find out more about which cookies we are using or switch them off in privacy settings.
AcceptPrivacy Settings