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FINRA Issues Fine to Small Advisory Firm Over Material Misrepresentations

Posted on December 3rd, 2021 at 12:20 PM
FINRA Issues Fine to Small Advisory Firm Over Material Misrepresentations

The Financial Industry Regulatory Authority has censured and issued a $250,000 fine to a Los Angeles-based advisory firm, WestPark Capital Inc., for making material misrepresentations pertaining to promissory notes offered by its parent company.

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I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!

David Y

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