FINRA fines Omni Financial Securities for alleged rule violations
Omni Financial Securities, Inc has agreed to pay a fine of $10,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA News
FINRA imposes $500k fine on First Citizens Investor Services for alleged rule violations
First Citizens Investor Services, Inc (FCIS) has agreed to pay a fine of $500,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $100k fine on Joseph Gunnar & Co
Joseph Gunnar & Co. LLC has agreed to pay a fine of $100,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Goldman Sachs for alleged rule violations
The Financial Industry Regulatory Authority (FINRA) has fined Goldman Sachs & Co. LLC for alleged rule violations.
FINRA fines Vistia Capital for alleged rule violations
Vistia Capital, LLC has agreed to pay a fine of $40,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines American Veterans Group for alleged rule violations
American Veterans Group, PBC has agreed to pay a fine of $70,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $800k fine on Revere Securities
The Financial Industry Regulatory Authority (FINRA) has fined Revere Securities LLC $800,000 for anti-money laundering (AML) and supervisory violations.
FINRA fines David Lerner Associates for alleged rule violations
David Lerner Associates, Inc has agreed to pay a fine of $15,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA bars former registered rep of LPL Financial for misappropriating $1.7M from customers’ accounts
FINRA has barred Rudy Anguiano of Chino Hills, CA, a former registered representative of LPL Financial LLC, from associating with any FINRA member firm in all capacities.
FINRA imposes $275k fine on Haywood Securities (USA) for alleged rule violations
Haywood Securities (USA) Inc has agreed to pay a fine of $275,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
