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FINRA imposes $4.2 million penalty on Webull for control failures
FINRA says some applications used landscape photographs instead of identity documents, and other accounts matched applicants recorded as deceased in Webull's systems.
Read articleFINRA says some applications used landscape photographs instead of identity documents, and other accounts matched applicants recorded as deceased in Webull's systems.
Read articleThe regulator cited 473 unexamined ACH transfers worth more than $1.5 million and an account that generated nearly 13,000 alerts for potentially manipulative trading.
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