FINRA ORDERS SECURITIES AMERICA TO PAY $2 MILLION IN RESTITUTION TO CUSTOMERS, FINES FIRM $1 MILLION FOR MUTUAL FUND SUPERVISION FAILURES

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FINRA has ordered Securities America, Inc. to pay $2 million in restitution to its customers and has fined the firm $1 million fo...


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FINRAmutual fundFailure to Superviseunsuitable investmentsRegulation Best Interest

CN Editor

December 04, 2025

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