FINRA imposes $250k fine on First Southern for alleged rule violations
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).
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).
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 & Co has agreed to pay a fine of $73,000 as a part of a settlement with FINRA.
Investment Placement Group (IPG) has agreed to pay a fine of $100,000 as a part of a settlement with FINRA.
Isaak Bond Investments, Inc. has agreed to pay a fine of $20,000 as a part of a settlement with FINRA.
Thomas Sapio, former Head of the U.S. Repurchase Agreements Desk (Repo Desk) at Cantor, is suspended for two months.
NewEdge Securities, LLC has agreed to pay a fine of $125,000 as a part of a settlement with FINRA.
SEI Investments Distribution Co (SIDCO) has agreed to pay a fine of $150,000 as a part of a settlement with FINRA.
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).
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).