Tag Archives: Beaconsfield Financial Services

Beaconsfield Financial Services Censured For Failure To Supervise

March 08, 2017  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Beaconsfield Financial Services Censured For Failure To Supervise

Beaconsfield Financial Services, Inc., a broker-dealer headquartered in Canonsburg, Pennsylvania, has been censured and fined $12,500.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm failed to supervise private securities transactions facilitated by one of the firm’s registered representatives. Letter of Acceptance, Waiver and Consent, No. 2016047658101 (Feb. 27, 2017). According […]

Read More »