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Monmouth Capital Management

Date:

July 25, 2023

Type of alert:

FINRA AWC  

Monmouth Capital Management entered into a FINRA Acceptance, Waiver, and Consent. Allegedly, six Monmouth registered representatives excessively traded and churned customer accounts while Monmouth failed to establish, maintain, and enforce a supervisory system and written supervisory procedures. Monmouth  consented, without admitting or denying the claims, to an expulsion from FINRA membership.

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