2022073306501 WallachBeth Capital LLC CRD 147853 AWC vrp.pdf
Between January 2021 and April 2024, WallachBeth violated FINRA Rules 3110 and 2010 by failing to establish, maintain, and enforce a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with rules prohibiting manipulative trading. For this violation, WallachBeth is censured and fined $100,000.