Updated Saturday, April 19, 2014 as of 5:32 AM ET
- Independent BDs
B-D Fined $175,000 Over Supervisory, Suitability Failings
Financial Planning
Monday, February 24, 2014

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.

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