BD4RIA and Dempsey Lord Smith Fined by FINRA for GPB Capital Holdings Investments Sales
The count of broker-dealers found guilty of misselling private placements of GPB Capital Holdings continues to rise. BD4RIA Inc., and Dempsey Lord Smith, have been fined by the Financial Industry Regulatory Authority (FINRA) for the same. Actions covered by the ruling pertaining to the spring of 2018. FINRA held that the two broker-dealers were negligent […]
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