featured, FINRA, SPAC
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LifeSci Capital, LLC has agreed to pay a fine of $900,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
BOK Financial Securities, featured, FINRA
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BOK Financial Securities, Inc. has agreed to pay a fine of $110,000 as a part of a settlement with FINRA.
Paulson Investment Company LLC has agreed to pay a fine of $40,000 as a part of a settlement with FINRA.
featured, FINRA, NFS
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National Financial Services LLC (NFS) has agreed to pay a fine of $175,000 as a part of a settlement with FINRA.
featured, FINRA, MML Investors Services
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MML Investors Services, LLC has agreed to pay a fine of $700,000 as a part of a settlement with FINRA.
G.research, LLC has agreed to pay a fine of $30,000 as a part of a settlement with FINRA.
featured, FINRA, 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.
featured, FINRA, XP Investments
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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.
featured, Fenix Securities, FINRA
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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).
featured, FINRA, Maxim Group
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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).
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