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Gar Wood Securities, LLC

Date:

August 24, 2022

Type of alert:

FINRA AWC  

Gar Wood Securities recently entered into a FINRA Acceptance, Waiver, and Consent. Gar Wood allegedly accepted approximately 2,000 short sale orders without obtaining locates and also failed to maintain a supervisory system. The firm consented, without confirming or denying the allegations, to a censure and $100,000 fine.

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