Tag Archives: Mercury Securities LLC

Mercury Securities Sanctioned For Failure To Supervise

Mercury Securities LLC, a brokerage firm located in San Rafael, California, was censured and fined $5,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm failed to supervise registered representativesā€™ private securities transactions. Letter of Acceptance, Waiver and Consent, No. 2015043459301 (July 12, 2017). According to the AWC, three of […]

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