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FINRA Fines IFP Securities $100,000 Over Regulation BI Supervisory Control Failures

GateNews
Stocks
FINRA ordered IFP Securities to pay a $100,000 fine to settle charges related to supervisory failures involving mutual fund and unit investment trust transactions during the review period from November 2022 through November 2025. The regulator found that the firm failed to properly implement its written supervisory procedures requiring daily reviews for Regulation Best Interest compliance. Specifically, IFP's surveillance system did not consistently generate alerts for transactions flagged as potentially unsuitable, such as rapid sales following purchases or repeated product switching. As a result, supervisors did not review a significant volume of transactions that should have been examined under the firm's own policies, affecting thousands of transactions across the three-year period. The settlement does not include an admission or denial of findings.
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