FINRA imposes $125k fine on Herold & Lantern Investments
Herold & Lantern Investments, Inc has agreed to a fine of $125,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA News
FINRA fines Tradier Brokerage for deficiencies in customer complaints reporting
Tradier Brokerage, Inc has agreed to pay a fine of $75,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $1.3M fine on Folio Investments
Folio Investments, Inc has agreed to pay a fine of $1.3 million as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $200k fine on Avantax Investment Services
Avantax Investment Services, Inc has agreed to pay a fine of $200,000 as a part of a settlement with FINRA.
FINRA imposes $140k fine on J.P. Morgan Securities
J.P. Morgan Securities LLC (JPMS) has agreed to pay a fine of $140,000 as a part of a settlement with FINRA.
FINRA fines Taglich Brothers for alleged Reg BI violations
Taglich Brothers Inc has agreed to pay a fine of $60,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Instinet for alleged rule violations
Instinet LLC has agreed to pay a fine as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Arkadios Capital for alleged Regulation Best Interest violations
Arkadios Capital, LLC has agreed to pay a fine of $25,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $125k fine on Velocity Capital
Velocity Capital, LLC has agreed to pay a fine of $125,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $750k fine on Benjamin F. Edwards & Co
Benjamin F. Edwards & Co., Inc has agreed to pay a fine of $750,000 as a part of a settlement with FINRA.
