Aurora Capital LLC Fined by FINRA
An AWC was issued in which the firm was censured, fined $15,000, ordered to certify to FINRA that it has adopted and implemented policies, procedures and systems that are reasonably designed to address each of the areas of conduct identified in the AWC, that it has completed a risk-based retrospective review of electronic communications sent or received by its associated personnel reasonably designed to achieve compliance with FINRA Rule 3110(b)(4) and that it has completed an inspection of each of its offices to achieve compliance with FINRA Rule 3110(c).
