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D. Boral Capital Fined $125,000 by FINRA

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According to a Letter of Acceptance, Waiver, and Consent published by FINRA, the firm conducted securities business on 96 days without maintaining the minimum required net capital, in violation of the Securities Exchange Act and multiple FINRA rules.  The deficiencies are said to have stemmed from improperly structured underwriting agreements, unauthorised capital withdrawals by firm principals, and accounting misclassifications. The firm was al…
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D. Boral Capital Fined $125,000 by FINRA

According to a Letter of Acceptance, Waiver, and Consent published by FINRA, the firm conducted securities business on 96 days without maintaining the minimum required net capital, in violation of the Securities Exchange Act and multiple FINRA rules.  The deficiencies are said to have stemmed from improperly structured underwriting agreements, unauthorised capital withdrawals by firm principals, and accounting misclassifications. The firm was al…

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LeapRate broke the news in on Wednesday, August 6, 2025.
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