FINRA disciplinary action update 2024/43
Disciplinary decisions issued November 2 – 8, 2024.
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Products / contracts principal suspended and fined for allegedly engaging in an outside business activity without authorization
FINRA Rule 2010FINRA Rule 3270Concorde Investment Services censured and fined for allegedly failing to reasonably supervise investment recommendations made to customers
The firm ailed to reasonably supervise recommendations to purchase limited partnership
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