TradeStation Fined By FINRA For Supervisory Failures

By Sydney Price (February 12, 2024, 7:41 PM EST) -- Broker-dealer TradeStation Securities agreed to pay $700,000 to the Financial Industry Regulatory Authority to settle claims that it failed to properly use anti-money laundering programs to alert the firm of suspicious trading by its customers, and that it did not implement proper procedures for the sales of certain securities....

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