Tag Archives: Brookline Capital Markets

CIM Securities Censured By FINRA For Failure To Supervise

October 22, 2018  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News, Ponzi Schemes, Selling Away and Outside Activities   |   Comments Off on CIM Securities Censured By FINRA For Failure To Supervise

CIM Securities LLC (also known as Brookline Capital Markets) a brokerage firm headquartered in Centennial Colorado has been censured and fined $15,000.00 by Financial Industry Regulatory Authority (FINRA) based upon the firm’s consent to findings that its failed to supervise three registered representatives’ private securities transactions. Letter of Acceptance Waiver and Consent No. 2017052070001 . […]

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