G.research gets a slap on the wrist for alleged violations of FINRA rules
G.research, LLC has agreed to pay a fine of $30,000 as a part of a settlement with FINRA.
FINRA News
FINRA imposes $115k fine on Spartan Capital Securities
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Spartan Capital Securities has agreed to pay a fine of $115,000 as a part of a settlement with FINRA.
FINRA imposes $225k fine on XP Investments US
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XP Investments US, LLC has agreed to pay a fine of $225,000 as a part of a settlement with FINRA.
FINRA imposes $250k fine on Fenix Securities
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Fenix Securities LLC has agreed to pay a fine of $250,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Maxim Group for deficient reporting
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Maxim Group LLC has agreed to pay a fine of $75,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $300k fine on CICC US Securities
CICC US Securities, Inc. has agreed to pay a fine of $300,000 as a part of a settlement with FINRA.
FINRA fines Investment Network, CEO Gary Arnold
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Financial Industry Regulatory Authority (FINRA) has imposed fines on Investment Network, Inc and its CEO Gary L. Arnold.
FINRA imposes $1.2M fine on IMC Financial Markets
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IMC Financial Markets has agreed to pay a fine of $1.2 million as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Signet Securities to pay $100k fine to settle FINRA charges
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Signet Securities, LLC has agreed to pay a fine of $100,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $270k fine on The Oak Ridge Financial Services Group
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The Oak Ridge Financial Services Group, Inc. has agreed to a $270,000 fine as a part of a settlement with FINRA.
