Ascendiant Capital Markets, LLC (CRD #152912, Irvine, California) was censured and fined $52,500 by FINRA for allegedly failing to record all terms and conditions on a customer order record and document time-in- force; failed to record all terms and conditions on a customer order record and document the correct order receipt time; and failed to […]

VFinance Investments Inc. of Boca Raton, FL, was 1.) fined $27,500 by FINRA for alleged failure to immediately publish a bid for several OTC securities that were higher than earlier bids, and 2.) fined $17,500 and ordered to pay $2,617 to customers for failure to use the most favorable prices for customers in the sale […]