FINRA Hits BD With $20K Fine Over Form CRS Failures
Thursday, March 5, 2026 · first reported by ThinkAdvisor
FINRA fined VSI Securities $20,000 for failing to disclose disciplinary history on Form CRS over a five-year period. This regulatory enforcement action highlights compliance obligations for financial service providers.
- Firm
- FINRA
- Also named
- VSI Securities
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