WFG Investments facing $650,000 Finra ‘global fine’
Comes on heels of another $200,000 penalty last year for missing a stock-fraud scheme
WFG Investments Inc., a midsized independent broker-dealer based in Dallas, is facing a $650,000 “global fine” by the Financial Industry Regulatory Authority Inc., according to a filing with the Securities and Exchange Commission.
It would be the firm's second six-figure Finra fine in t
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