CMIC sanctions 45 brokers; Mount Peak cited for unauthorized use of client assets, 15 other breaches
The Capital Markets Integrity Corporation (CMIC) sanctioned 45 brokerages for securities law violations, including Mount Peak Securities Inc., which was cited for the unauthorized use or disposition of client funds or securities.
The Capital Markets Integrity Corporation (CMIC) sanctioned 45 brokerages for securities law violations, including Mount Peak Securities Inc., which was cited for the unauthorized use or disposition of client funds or securities.
What's Your Reaction?
