Van Clemens & Co. Incorporated fined by FINRA
19 August 2019
An AWC was issued in which the firm was censured, fined $50,000 and ordered to certify to FINRA that it has established and implemented policies, procedures and internal controls reasonably designed to address and remediate the issues identified in the AWC. A lower fine was imposed after considering, among other things, the firm’s revenue and financial resources.
