Fined: Advisory Group Equity Services Ltd. Fined by FINRA

Fined

Advisory Group Equity Services Ltd. Fined by FINRA

14 January 2019

An AWC was issued in which the firm was censured and fined $20,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to establish and maintain a reasonable supervisory system with respect to the retention and review of emails of newly hired representatives.

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