The firms recently fined by Finra are:
- Harpeth Securities
- Axos Invest
- Highlander Capital
- American Wealth Management
- DMK Advisor Group
In February, Finra suspended two brokers for violating Reg BI.
Estimated reading time: 0 minutes, 18 seconds
Finra Slaps 5 Firms Over Reg BI, Form CRS
The Financial Industry Regulatory Authority has sanctioned five firms for lapses involving Regulation Best Interest and the Customer Relationship Summary (Form CRS). So reports Think Advisor.
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