11/06/2026
Prime Number Capital has agreed to pay a $335,000 fine and accept a censure to settle FINRA charges related to anti-money laundering deficiencies, recordkeeping failures, and supervisory violations. The firm will also retain an independent consultant as part of the settlement.
π Read more: https://www.fazzaco.com/newsdetail/finra-imposes-335k-fine-on-prime-number-capital-413399
[image]Prime Number Capital LLC has agreed to pay a $335,000 fine and accepted a censure to settle c...