The Trade Confirm Sample Size Conundrum

$2.8 Million Fine for Trade Confirmation Issues

 Jesy and Kat review an AWC listed in the August 2022 FINRA disciplinary actions report 

• Jesy finds her favorite wine for cheap
• Kat buys wine from a gas station
• Trade Confirms and Supervision
• Systematic issues and misunderstanding of regulation

Read the AWC here.

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