Carlton & Associates, Inc. Sanctioned by FINRA for Failure to Supervise Sales of Volatility-Linked ETPs

2021-05-26T15:28:19-05:00May 26th, 2021|Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Carlton & Associates, Inc. (CRD # 20999) was recently sanctioned by FINRA’s [...]