Fined: Van Clemens & Co. Incorporated fined by FINRA

Fined
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Van Clemens & Co. Incorporated fined by FINRA

19 August 2019

An AWC was issued in which the firm was censured, fined $50,000 and ordered to certify to FINRA that it has established and implemented policies, procedures and internal controls reasonably designed to address and remediate the issues identified in the AWC. A lower fine was imposed after considering, among other things, the firm’s revenue and financial resources.

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