FINRA Says Broker Earned 'Secret' Comp On $10M Fundraise
By Al Barbarino ( March 1, 2022, 4:02 PM EST) -- The Financial Industry Regulatory Authority's enforcement unit says broker-dealer Worden Capital Management LLC should pay investors back after failing to disclose an agreement that allowed the firm to earn revenue on investments made through a $10 million fundraise, claiming that the firm also failed to uphold its own compliance screens of the investments....
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