Tag Archives: Liberty Financial Partners

Liberty Financial Fined For Failure To Supervise Trades

December 23, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Liberty Financial Partners, a brokerage firm headquartered in Mount Pleasant, South Carolina, has been censured and fined $100,000.00 by Financial Industry Regulatory Authority (FINRA) based upon allegations that the firm, inter alia, failed to supervise transactions effected in customer accounts to determine whether customers incurred excessive costs and had been exposed to excessive trading. Letter […]

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