Fined: Ross, Sinclaire & Associates, LLC Fined by FINRA

Fined

Ross, Sinclaire & Associates, LLC Fined by FINRA

10 June 2019

An AWC was issued in which the firm was censured and fined $200,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to disclose material facts while assisting with the preparation and circulation of a confidential information memorandum (CIM) to accredited investors for a private placement of notes.

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