South Florida Arbitration & Litigation Lawyer Blog
Mid Atlantic Capital Corporation – Private Securities Transactions – West Palm Beach, Florida FINRA Arbitration Attorney:
Mid Atlantic Capital Corporation (CRD #10674, Pittsburgh, Pennsylvania) recently submitted an AWC in which the firm was censured and fined $100,000 by FINRA. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to adequately supervise the private securities transactions of two registered representatives.
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