According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), TGP Securities allegedly failed to supervise two representatives’ private securities transactions, which is in violation of FINRA rules. TGP is a brokerage firm headquartered in Summit, New Jersey. If a firm allows a registered broker to participate in private securities transactions, the firm may be responsible for investment losses. Please call our law offices today at 312-332-4200 for a free consultation with an attorney about your losses with TGP Investments. We sue firms such as TGP in the FINRA arbitration process on a contingency fee basis only. There is no obligation. Firms have a duty to reasonably supervise their representatives.
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