Tag: failure to supervise
Moors & Cabot Inc.: Regulatory History Overview
The White Law Group is reviewing the regulatory history of Moors & Cabot Inc. Moors & Cabot Inc....
Concourse Financial Group (Proequities Inc.) Overview
The White Law Group reviews the regulatory history of Concourse Financial Group (Proequities Inc.). Concourse Financial Group...
Webull Financial Censured and Fined $3 Million
FINRA Sanctions Webull Financial for Options Trading According to public documents this week, the Financial Industry Regulatory...
FINRA Hits Morgan Stanley for High-Risk Investments
Morgan Stanley Wealth to pay $697,897 for Failure to Supervise Risky Investments The Financial Industry Regulatory Authority (FINRA) is...
FINRA Fines Barclays Capital Inc. $2 Million
Barclays Sanctioned for Best Execution Violations and Supervisory Failures According to the Financial Industry Regulatory Authority...
Aegis Capital Corp. Customer Complaints & Regulatory Actions
The White Law Group reviews the regulatory history of Aegis Capital Corp. Aegis Capital Corp., (CRD #15007, New York, NY) is a...
