SEC Fines Broker-Dealer PHX, Sues Rep Over Reg BI Claims
By Emilie Ruscoe ( October 17, 2024, 11:03 PM EDT) -- The U.S. Securities and Exchange Commission has fined broker-dealer PHX Financial Inc. and sued one of its registered representatives over claims that the representative improperly advised a handful of retail clients to engage in a trading strategy that caused them massive losses but generated significant fees and commissions for the firm and the representative....
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