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KM Financial Solutions | New Jersey brokerage firm to pay $13 million to settle federal allegations -U.S. CFTC
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New Jersey brokerage firm to pay $13 million to settle federal allegations -U.S. CFTC

12 Sep New Jersey brokerage firm to pay $13 million to settle federal allegations -U.S. CFTC

Posted at 21:55h in News by
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A New Jersey-based brokerage
will pay $13 million to settle charges that it failed to
supervise employee conduct during telephone trades and made
false or misleading statements to a regulator, the U.S.
Commodities Futures Trading Commission (CFTC) said on Friday.

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