The Financial Industry Regulatory Authority (FINRA) has warned firms of a security vulnerability that poses potentially severe risks to organizations using NGINX products.
Beta Capital Securities LLC d/b/a Creand Securities has agreed to pay a fine of $145,000 as a part of a settlement with FINRA.
DriveWealth, LLC has agreed to pay a fine of $1.1 million as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Conners & Co., Inc has agreed to pay a fine of $20,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
WestPark Capital, Inc has agreed to pay a fine of $175,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Merrill Lynch, Pierce, Fenner & Smith Incorporated has agreed to pay a fine of $175,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
The Financial Industry Regulatory Authority (FINRA) has expelled from membership Reid & Rudiger LLC.
Edward D. Jones & Co., L.P. has agreed to pay a fine of $125,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Outset Global Trading Limited has agreed to pay a fine of $130,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
BMI Capital International LLC has agreed to pay a fine of $15,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
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