Traderfield Securities Inc. Fined by FINRA
9 July 2019
An AWC was issued in which the firm was fined $5,000. Without admitting or denying the findings, the firm consented to the sanction and to the entry of findings that it failed to have a system of supervisory control procedures that tested and verified that its supervisory procedures were reasonably designed to achieve compliance with applicable securities laws and regulations and FINRA rules.
