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MSC-BD, LLC Fined For Failure to Supervise

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04
May

MSC-BD, LLC Fined For Failure to Supervise

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MSC-BD, LLC Fined For Failure to Supervise

MSC-BD Fined For Failure to Supervise   Our law firm is currently investigating allegations made against MSC-BD, a Lake Oswego, Oregon-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against MSC, alleging that it failed to adequately supervise a registered representative.   Specifically, FINRA alleged that the representative engaged in a ...

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