Tag: electronic communications
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...
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...
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...