Fined: Seven Points Capital, LLC Fined by FINRA

Fined

Seven Points Capital, LLC Fined by FINRA

An AWC was issued in which the firm was censured and fined $20,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it permitted proprietary traders to engage in equity trading when these associated persons were not properly qualified and did not maintain the appropriate registrations with FINRA.

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