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FINRA Fines Lucia Securities For Failure To Supervise

January 26, 2018 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News | 0 Comments

Lucia Securities, LLC, a brokerage firm headquartered in San Diego, California, has been censured and fined $35,000.00 by Financial Industry Regulatory Authority (FINRA) by consenting to findings that the firm failed to supervise and preserve consolidated reports which had been distributed to the firm’s customers. Letter of Acceptance, Waiver and Consent, No. 2017055425901 (Jan. 9, […]

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FINRA Fines Lucia Securities For Failure To Supervise

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