featured, FINRA, First Southern
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First Southern, 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, JPMS
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J.P. Morgan Securities LLC has agreed to disgorge $1,672,923 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Cantor Fitzgerald, featured, FINRA
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Cantor Fitzgerald & Co has agreed to pay a fine of $73,000 as a part of a settlement with FINRA.
featured, FINRA, IPG
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Investment Placement Group (IPG) has agreed to pay a fine of $100,000 as a part of a settlement with FINRA.
featured, FINRA, Isaak Bond Investments
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Isaak Bond Investments, Inc. has agreed to pay a fine of $20,000 as a part of a settlement with FINRA.
Cantor Fitzgerald, featured, FINRA
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Thomas Sapio, former Head of the U.S. Repurchase Agreements Desk (Repo Desk) at Cantor, is suspended for two months.
featured, FINRA, NewEdge
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NewEdge Securities, LLC has agreed to pay a fine of $125,000 as a part of a settlement with FINRA.
featured, FINRA, SIDCO
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SEI Investments Distribution Co (SIDCO) has agreed to pay a fine of $150,000 as a part of a settlement with FINRA.
featured, FINRA, PNC Investments
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PNC Investments LLC has agreed to pay a fine of $200,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
featured, FINRA, Rialto Markets
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Rialto Markets LLC has agreed to pay a fine of $50,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
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