FINRA v. A.G.P. / Alliance Global Partners, LLC

A.G.P. / Alliance Global Partners, LLC was censured and fined. According to FINRA, it did not file, or filed untimely or inaccurate, notifications with FINRA in connection with its participation in distributions of securities subject to Regulation M under the Securities Exchange Act of 1934. The firm also failed to reasonably supervise its compliance with Rule 101 of Regulation M and FINRA Rule 5190.

Summary generated from official Financial Industry Regulatory Authority press release