Fined: Sigma Financial Corporation Fined by FINRA

Fined

Sigma Financial Corporation Fined by FINRA

7 March 2019

An AWC was issued in which the firm was censured and fined $100,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to establish, maintain and enforce a supervisory system and WSPs reasonably designed to achieve compliance with securities laws, regulations and FINRA rules applicable to the sales of leveraged, inverse and inverse-leveraged ETFs.

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