featured, FINRA, Merrill Lynch
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Merrill Lynch, Pierce, Fenner & Smith Incorporated has agreed to pay a fine of $275,000 as a part of a settlement with FINRA.
Cova Capital, featured, FINRA
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Cova Capital Partners LLC has agreed to pay a fine of $30,000 as a part of a settlement with FINRA.
featured, FINRA, GTS Securities
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GTS Securities LLC has agreed to pay a fine of $150,000 as a part of a settlement with FINRA.
featured, FINRA, Stonecrest
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Stonecrest Capital Markets, Inc has agreed to pay a fine of $45,000 as a part of a settlement with FINRA.
featured, FINRA, spoofing
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Jin Yi Lim, a former Barclays general securities representative, has agreed to a fine as a part of a settlement with FINRA.
featured, FINRA, G1 Execution Services
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G1 Execution Services, LLC has agreed to pay a fine of $175,000 as a part of a settlement with FINRA.
Berkshire, featured, FINRA
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Berkshire Global Advisors LP has agreed to pay a fine of a $100,000 as a part of a settlement with FINRA.
featured, FINRA, UBS Financial Services
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UBS Financial Services Inc. has agreed to pay a fine of $1,100,000 as a part of a settlement with FINRA.
featured, FINRA, Wall Street Access
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Wall Street Access has agreed to pay a fine as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Ceros, featured, FINRA
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FINRA has imposed a fine of $90,000 as a part of a settlement with Ceros Financial Services, Inc.
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