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Tag: electronic communications

Broker-Dealer Overview

Sixteen Firms to pay $81 Million for Texting

SEC Fines Firms $81 Million to Settle Charges of Mishandling Electronic Communications According to Investment News last week, several...

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Blog, Securities Fraud Articles

Securities America, Inc. fined by FINRA

Securities America, Inc. (CRD #10205, La Vista, Nebraska) submitted a Letter of Acceptance, Waiver and Consent in which the firm was...

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Blog, Securities Fraud Articles

Workman Securities Corporation Sanctioned by FINRA

Workman Securities Corporation (CRD #31898, Eden Prairie, Minnesota) recently submitted a Letter of Acceptance, Waiver and Consent in which...

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