Tag Archives: Trident Partners

Trident Partners Sanctioned For Failure to Supervise

July 29, 2017  |   Posted by :   |   Failure To Supervise   |   0 Comments

Trident Partners, Ltd., a brokerage firm located in Woodbury, New York, was censured and fined $50,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm failed to supervise its staff, and authorized its registered representatives to make recommendations that were not suitable for customers. Letter of Acceptance, Waiver and Consent, […]

Read More »