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Liberty Associates Fined for Failure to Supervise

January 21, 2016 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Private Placement Fraud | 0 Comments

Liberty Associates, Inc. of New York, New York, was censured and fined $3,500.00 by Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm had failed to establish, maintain, and enforce adequate supervisory procedures concerning private placements. Letter of Acceptance, Waiver and Consent, No. 2013035239001 (Dec. 29, 2015). According to the AWC, from […]

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Liberty Associates Fined for Failure to Supervise

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