Articles Tagged with Boca Raton Florida Securities Attorney

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Atlas One Financial Group, LLC (Atlas One) submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) for allegedly failing to report transactions to the Trade Reporting and Compliance Engine (TRACE) within the time required by FINRA rules.

Atlas One has been a member of FINRA since April 24, 2003. On three occasions between 2011 and 2014, Atlas Once has faced FINRA disciplinary actions due to late reporting in TRACE-eligible securities. Continue reading →