Empire Securities Corporation of Southern California
Empire Securities Corporation of Southern California (CRD #2826, Los Angeles, California) received a censure and fine of $20,000. According to the findings, the firm permitted registered persons to act in capacities requiring registration while their NASD registrations were inactive due to a failure to complete in a timely manner the Regulatory Element of the Continuing Education Requirement. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C02030069)
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