CIM Securities, LLC Fined by FINRA
3 October 2018
A Letter of Acceptance, Waiver and Consent (AWC) was
issued in which the firm was censured and fined $15,000. Without admitting
or denying the findings, the firm consented to the sanctions and to the
entry of findings that it failed to comply with its obligations to review,
approve, document and supervise private securities transactions by three
of its registered representatives.
