CIM Securities LLC, a securities broker dealer headquartered in Centennial, Colorado, has been censured and fined $35,000.00 by Financial Industry Regulatory Authority (FINRA) founded on findings that CIM Securities failed to supervise suitability requirements for private placement transactions. Letter of Acceptance, Waiver, and Consent No. 2019060957101 (January 31, 2022). According to the AWC, from September…
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 ….