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Written by 6:14 pm Blog, Securities Fraud Articles

Dinosaur Securities, LLC fined by FINRA

Dinosaur Securities, LLC was recently fined $25,000 by FINRA. Without admitting or denying the findings, Dinosaur Securities, LLC consented to the entry of findings that it allowed representatives to effect trades for their customers and earn commissions while the representatives were not registered with FINRA through any member firm. The findings further stated that the firm paid the representatives “retention payments/advances” based on commissions generated from account activity.

If you have questions about investments you made with Dinosaur Securities, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help. To speak to a securities attorney, please call our Chicago office at 312-238-9650 for a free consultation.

The White Law Group is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.

For more information on The White Law Group, visit https://whitesecuritieslaw.com.

Tags: , , , , , , , , , , Last modified: April 25, 2023