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In addition to the fine, the firm must also provide FINRA with a proposed method to identify, review and remediate unsuitably concentrated PR securities purchases.
The eight-year-old (above), ruled out of last year's race on account of unsuitably fast ground, returned to his best to lift the Yorkshire Cup on the Knavesmire last month.
Colne Valley MP Jason McCartney raised the issue in the House of Commons on Tuesday, asking transport minister Norman Baker what was being done to "prevent unsuitably large vehicles from using small local roads and lanes".
Two of those were on unsuitably testing ground and it's no coincidence he ran his best race when second at Stratford on a quicker surface, so he has plenty going for him here.
This would enable the GMC to "test the clinical competence of doctors and undertake systematic testing of language skills so that everything possible is done to lessen, as soon as possible, the risks of employing another unsuitably trained or inexperienced doctor in out-ofhours services.
The eight-year-old boasts three wins in five starts over fences for trainer Ferdy Murphy this season, with his only defeats coming on unsuitably easy ground.
Admittedly, her only defeat came over tomorrow's course and distance when well beaten in the Coronation Stakes, but that race was run on unsuitably soft ground.
Second to the impressive Westerner 12 months ago when the Royal meeting was at York, the seven-year-old confirmed his well-being with a battling win in unsuitably soft conditions at Newbury on his seasonal reappearance.
The Aga Khan's three-year-old was to have been aimed at the Entenmann's Irish 2000 Guineas but, due to unsuitably soft ground at the Curragh, connections have decided instead to head for the Listed contest at the Sunbury track.
The five-year-old acquitted himself well on his comeback, running third in the Prix Ganay on unsuitably soft ground on his first run since joining Cumani.
The Royal Ascot Racing Club's juvenile was not declared for today's Group Three contest due to the unsuitably firmish ground at Goodwood.
But the trainer will then consider big races at York, in America and in Hong Kong for the gelding, who had been heading for yesterday's Gala Stakes until the going turned unsuitably soft.