Tag: supervisory procedures
Portfolio Advisors Alliance, Inc. fined by FINRA
Portfolio Advisors Alliance, Inc. (CRD #101680, New York, New York) and Marcelle Long (CRD #2679335, Registered Principal, Atlanta,...
National Securities Corporation fined by FINRA
National Securities Corporation (CRD #7569, Seattle, Washington) and Matthew G. Portes (CRD #4995542, Registered Principal, Chicago,...
D. Weckstein & Co., Inc. fined by FINRA
D. Weckstein & Co., Inc. (CRD #20338, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the...
Domestic Securities, Inc. fined by FINRA
Domestic Securities, Inc. (CRD #34721, Montvale, New Jersey) recently submitted a Letter of Acceptance, Waiver and Consent in which the...
BNY Mellon Capital Markets, LLC fined by FINRA
BNY Mellon Capital Markets, LLC (CRD #17454, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the...
B.C. Ziegler and Company fined by FINRA
B.C. Ziegler and Company (CRD #61, Chicago, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured...
