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FINRA Censures Cape Securities, Orders $145K Restitution | LeapRate | Online Trading Industry News, Broker Intelligence & Fintech Analysis
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FINRA Censures Cape Securities, Orders $145K Restitution | LeapRate | Online Trading Industry News, Broker Intelligence & Fintech Analysis
Cape Securities Inc., a McDonough, Georgia-based broker-dealer, has been censured by the Financial Industry Regulatory Authority (FINRA) and ordered to pay $145,072.62 in partial restitution, plus interest, for failing to comply with Regulation Best Interest (Reg BI) and for repeatedly ignoring regulatory information requests. The sanctions, outlined in a Letter of Acceptance, Waiver, and Consent (AWC), stem from violations spanning July 2020 th…
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