Fined: Apex Clearing Corporation Fined by FINRA

Fined

Apex Clearing Corporation Fined by FINRA

An AWC was issued in which the firm was censured and fined $140,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to comply with FINRA’s short interest reporting requirements and related supervision obligations.

Read full report.