Chardan Capital Markets LLC Fined by FINRA
20 December 2018
An AWC was issued in which the firm was censured, fined $75,000 and required to provide written reports to FINRA concerning its implementation and the effectiveness of its policies, systems, and procedures (written and otherwise) and training, to ensure the firm is in compliance with Rule 101 of Securities and Exchange Commission (SEC) Regulation M, and FINRA Rule 5190(c)(1)(A) and (B).
