Updated: Jan 11, 2021
FINRA Fines Broker/Dealer a Total of $6 Million for Operational Violations and Supervisory Failures. Loffa has been working with numerous firms to protect them from this type of action.
So if you would like to sleep better at night, learn more about Loffa Interactive and let us show you how you to instantaneously strengthen your supervisor oversight, enhance your written supervisory procedures and sustain your internal controls over compliance.
Our commitment to our customers is constant process improvement, allowing them to perform these regulatory functions in the most efficient, effective and economical manner possible.