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FINRA alleges Monmouth Capital Management traded accounts excessively, failed to supervise traders, and made misleading disclosures to clients.
Broker-dealer Monmouth Capital Management has been expelled by the self-regulatory organization FINRA, which cites a long list of alleged violations led by excessive trading of client accounts that was not rectified despite many red flags pointing to problems. “Monmouth has been a FINRA member since July 2018. The firm has one branch office located in...
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