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December 12, 2017
CFD Investments Inc. Fined and Censured by FINRA Over Non-Traditional ETF Sales

Soreide Law Group obtained the following information on FINRA’s website, which is available to the public, under “Disciplinary and Other FINRA Actions November 2017.” CFD Investments, Inc. (CRD #25427, Kokomo, Indiana) was censured and fined $30,000 for allegedly failing to establish, maintain, and enforce a reasonable supervisory system designed to ensure the review of its […]

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