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Articles Tagged with FINRA Cape Securities

Broker-dealer firm, Cape Securities, Inc. was fined $125,000 by the Financial Industry Regulatory Authority (FINRA) on May 5, 2015 for failing to supervise and prevent unsuitable investment recommendations and churning of customer accounts. According to the Letter of Acceptance, Waiver and Consent (AWC) from October 2011 through February 2013, Cape Securities, Inc.’s Manhattan branch sold […]

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