GWN Securities, Inc., a brokerage firm headquartered in Palm Beach Gardens, Florida, has been fined $20,000.00 by Florida Office of Financial Regulation based upon consenting to findings that the firm failed to discover that its registered representatives had engaged in outside business activities, utilized advertising materials that had not been approved by firm principals, and did not supply documentation pertaining to the firm’s branch offices as required. Stipulation and Consent Order No. 128929 (Aug. 12, 2016).
Guiliano Law Group
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