Fined: Beta Capital Securities LLC Fined by FINRA

Fined
12875

Beta Capital Securities LLC Fined by FINRA

An AWC was issued in which the firm was censured and fined $50,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to timely report to TRACE transactions in TRACE-eligible corporate debt securities.

Read full report.

12875