FINRA Fines Broker-Dealer, CEO In Text Messaging Action https://www.law360.com/compliance/articles/1822998?nl_pk=ab5ce197-c1fb-4d8e-a411-413bce38e654&utm_source=newsletter&utm_medium=email&utm_campaign=compliance&utm_content=2024-04-09&read_main=1&nlsidx=0&nlaidx=7 By Sarah Jarvis Dawson James Securities Inc. and its CEO have agreed to pay the Financial Industry Regulatory Authority a combined $510,000 to end the broker watchdog's allegations that the firm failed to review thousands of business-related text messages and had an inadequate supervisory system. Letter attached | Read full article » https://www.law360.com/compliance/articles/1822998?nl_pk=ab5ce197-c1fb-4d8e-a411-413bce38e654&utm_source=newsletter&utm_medium=email&utm_campaign=compliance&utm_content=2024-04-09&read_more=1&nlsidx=0&nlaidx=7 | Save to favorites » https://www.law360.com/compliance/articles/1822998?nl_pk=ab5ce197-c1fb-4d8e-a411-413bce38e654&utm_source=newsletter&utm_medium=email&utm_campaign=compliance&utm_content=2024-04-09&read_later=1&nlsidx=0&nlaidx=7