Fined: Traderfield Securities Inc. Fined by FINRA

Fined
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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.

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