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Corporate Securities Group, Inc., n/k/a First Union Securities Financial Network, Inc.

Corporate Securities Group, Inc., n/k/a First Union Securities Financial Network, Inc. (CRD #11025, Boca Raton, Florida) received a censure and fine of $50,000. According to the regulators, the firm failed to establish an adequate supervisory system of follow-up and review to ensure review of active accounts and failed to devote sufficient resources to its supervisory system to detect and prevent unsuitable activity in customer accounts. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C11010029)

Did Corporate Securities Group, Inc., n/k/a First Union Securities Financial Network, Inc. manage your investments?

 

 

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