Wealth Manager Fined More Than $800,000 for Reg BI Violations
Of their advisers, 2 were also fined and 1 suspended for 6 months for account churning and excessive trading.
Tag: Churning
FINRA Expels Brokerage Firm Monmouth for Violating Reg BI
Monmouth is the second firm to be expelled by FINRA for failing to supervise its representatives’ trading.