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1st Discount Brokerage Settles with FINRA Regarding Sales of ETFs

Tag Archives: 1st Discount Brokerage

14
Nov

1st Discount Brokerage Settles with FINRA Regarding Sales of ETFs

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1st Discount Brokerage Settles with FINRA Regarding Sales of ETFs

1st Discount Brokerage Settles with FINRA Regarding Sales of ETFs   We are currently investigating allegations made against 1st Discount Brokerage, a Lake Worth, Florida-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against 1st Discount Brokerage.  FINRA alleged that 1st Discount Brokerage failed to have procedures in place to ...

10.0David P Neuman

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