Tag Archives: Inadequate Supervisory System
Broward County Brokerage Firm Fined $125,000 Inadequate Supervisory System
Recently, the Financial Industry Regulatory Authority (FINRA) issued a $125,000 fine against TradeStation Securities, Inc. (CRD #39473), a brokerage firm headquartered in Plantation, Florida. This broker-dealer has been in business since 1995 and is licensed to operate in 51 American states and U.S. territories. According to FINRA investigators, TradeStation Securities executed extended hours trades… Read More »
