Investigations
July 1, 2021 – An AWC was issued in which Bowman was fined $10,000 and suspended from association with any FINRA member in all capacities for three months. Without admitting or denying the findings, Bowman consented to the sanctions and to the entry of findings that...
Investigations
July 19, 2021 – An AWC was issued in which the firm was censured, fined $350,000 and required to retain an independent consultant to conduct a comprehensive review of the reasonableness of the firm’s policies, systems, procedures (written and otherwise) and training...
