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FINRA Fines Brighton For Failure To Supervise Trading

January 09, 2018 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News | 0 Comments

Brighton Securities Corp., a brokerage firm headquartered in Rochester, New York, was censured and fined $50,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm failed to supervise its stockbroker, who effected mutual fund trades that were not suitable for customers. Letter of Acceptance, Waiver and Consent, No. 2015046536701 (Dec. […]

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FINRA Fines Brighton For Failure To Supervise Trading

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