Cape Securities Censured by FINRA Over GWG L Bond and NT-ETP Sales
Cape Securities Censured by FINRA Over GWG L Bond and NT-ETP Sales Key Takeaway: Cape Securities Inc. has been censured by FINRA and ordered to pay $145,072.62 in partial restitution for failing to supervise representatives who recommended high-risk GWG L Bonds and complex leveraged exchange-traded products to retail customers — including seniors with moderate risk […]
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