Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Wednesday, May 3, 2017

Lightspeed Trading Named Respondent in FINRA Complaint


Lightspeed Trading, LLC (CRD #35519, New York, New York) was named a respondent in a FINRA complaint alleging that it failed to establish, document, and maintain an adequate system of risk management controls and supervisory procedures, including c...
https://www.securitieslawyer101.com/?p=36529

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