Tag Archives: Bruce A. Lefavi Securities Inc.

Lefavi Securities Fined For Failure To Supervise

November 20, 2017  |   Posted by :   |   Business Development Companies, Non-traded REITs   |   0 Comments

Bruce A. Lefavi Securities, Inc., a brokerage firm headquartered in Salt Lake City, Utah, has been censured and fined $25,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm failed to supervise customer transactions and violated FINRA’s content standards. Letter of Acceptance, Waiver and Consent, No. 2015043353301 (Nov. 10, 2017). […]

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