Corinthian Partners, L.L.C. Fined by FINRA
18 March 2019
A Letter of Acceptance, Waiver and Consent (AWC) was issued in which the firm was censured, fined $30,000 and required to submit a written certification to FINRA that its policies, systems and procedures (including written procedures) and training, in connection with non-traditional exchange traded products (non-traditional ETPs), are reasonably designed to achieve compliance with FINRA Rule 2111(a) relating to suitability.
