FINRA In the Matter of BTIG, LLC

BTIG, LLC allegedly failed to reasonably supervise its employees’ use of unapproved communications platforms for business purposes and failed to preserve business-related communications sent and received through unapproved platforms by more than 50 current and former firm employees, including members of senior management. The communications included thousands of messages between firm employees and between employees and clients.

Summary generated from official Financial Industry Regulatory Authority press release