Monex Securities Inc.

Monex Fined Over Securities Sales

02/01/2015(0)

Regulator Says Firm Allowed Unregistered Employees to Sell Securities Monex Securities Inc. must give up the $1.1 million it made by allowing unregistered foreign employees to sell securities on ... Read More

FINRA Sanctions Monex Securities Inc. $1.3 Million for Failing to Register and Supervise Foreign Personnel

31/12/2014(0)

Firm’s President Fined and Suspended The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Monex Securities Inc. to pay $1,100,000 in disgorgement of commissions, plus interest, ... Read More

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Monex Securities Inc.

Monex Fined Over Securities Sales

FINRA Sanctions Monex Securities Inc. $1.3 Million for Failing to Register and Supervise Foreign Personnel

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Top benefits of self-paced online learning

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