featured, FINRA, Puente
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Puente Servicios Financieros LLC has agreed to pay a fine of $20,000 as a part of a settlement with FINRA.
Alexander Investment Services Co has agreed to pay a fine of $25,000 as a part of a settlement with FINRA.
featured, FINRA, NexPoint
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NexPoint Securities, Inc has agreed to pay a fine of $50,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Amy Fulghum has agreed to a six-month suspension as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
EFG Capital, featured, FINRA
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EFG Capital International has agreed to pay a fine of $650,000 as a part of a settlement with FINRA.
featured, FINRA, National Bank of Canada Financial
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National Bank of Canada Financial Inc has agreed to pay a fine of $70,000 as a part of a settlement with FINRA.
featured, FINRA, Synovus Securities
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Synovus Securities, Inc. has agreed to pay a fine of $315,000 as a part of a settlement with FINRA.
Cash App Investing, featured, FINRA
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Cash App Investing LLC has agreed to pay a fine of $375,000 as a part of a settlement with FINRA.
featured, FINRA, UCM, United Capital Markets
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United Capital Markets, Inc. has agreed to pay a fine of $25,000 as a part of a settlement with FINRA.
featured, FINRA, Interactive Brokers
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Interactive Brokers LLC has agreed to pay a fine of $125,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
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