O.N. Equity Sales Company (ONES) Fined by FINRA and Pay $1 Million Restitution

O.N. Equity Sales Company (ONES) is the latest broker-dealer to be found guilty of lack of supervision of its brokers by the Financial Industry Regulatory Authority (FINRA). The result is a fine of $275,000 and an order to pay restitution to impacted customers, amounting to over a million dollars, including interest. This is as per …

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