Updated Monday, October 20, 2014 as of 4:13 AM ET

B-D Fined $175,000 Over Supervisory, Suitability Failings

Broker-dealer and investment advisor Royal Securities has agreed to pay  $175,000 in fines to FINRA for supervisory and suitability failings, including the improper sale of non-traditional ETFs and niche bonds.

Get access to this article and thousands more...

All On Wall Street articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?

Comments (0)

Be the first to comment on this post using the section below.

Add Your Comments:
Not Registered?
You must be registered to post a comment. Click here to register.
Already registered? Log in here
Please note you must now log in with your email address and password.

Already a subscriber? Log in here