Finra cuffs another broker-dealer over GPB sales
The actions outlined in Finra settlement with Sanctuary predate Sanctuary’s acquisition of David A. Noyes, a company spokesperson notes.
The Financial Industry Regulatory Authority Inc. last week fined another broker-dealer, this time the wealth management aggregator Sanctuary Securities Inc., for negligent sales to clients of GPB Capital Holdings private placements in light of GPB’s failure in 2018 to issue audited financial
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