US Edition2024080209001 General Securities Corp. CRD 15062 AWC vr.pdf
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2024080209001 General Securities Corp. CRD 15062 AWC vr.pdf
From June 30, 2020, to August 6, 2024, General Securities failed to disclose its own and its registered representatives’ disciplinary history in the firm’s customer relationship summary (Form CRS) and failed to comply with the instructions for Form CRS. By filing and delivering to customers a Form CRS that omitted required information, General Securities willfully violated Section 17(a)(1) of the Securities Exchange Act of 1934 and Exchange Act …
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