From October 2023 through August 2025, Percent Securities failed to timely file with FINRA offering documents for 372 member private offerings, in violation of FINRA Rules 5122 and 2010. For these violations, Percent Securities is censured and fined $60,000...

On 64 days between June 2022 and May 2023, BMI conducted a securities business while failing to maintain its minimum required net capital, in violation of Section 15(c)(3) of the Securities Exchange Act of 1934, Exchange Act Rule 15c3-l, and FINRA Rules 4110(b)(1) and 2010.