FINRA imposes $20M fine on UBS Financial for AML violations
The Financial Industry Regulatory Authority (FINRA) has fined UBS Financial Services Inc $20 million for anti-money laundering (AML) violations.
FINRA News
FINRA imposes $275k fine on RBC Capital Markets
RBC Capital Markets, LLC has agreed to pay a fine of $275,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines The Logan Group Securities for alleged violations of Regulation Best Interest
The Logan Group Securities has agreed to pay a fine of $70,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Brown Associates for alleged rule violations
Brown Associates, Inc has agreed to pay a fine of $30,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $850k fine on tastytrade for alleged rule violations
tastytrade, Inc has agreed to pay a fine of $850,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Virtu Americas for alleged rule violations
The Financial Industry Regulatory Authority (FINRA) has fined Virtu Americas LLC for alleged rule violations.
FINRA fines World Choice Securities, general securities rep
The Financial Industry Regulatory Authority (FINRA) has announced a settlement with World Choice Securities, Inc (WCS) and Robert Kenneth Cargin.
FINRA fines Centaurus Financial, general securities rep
The Financial Industry Regulatory Authority (FINRA) has announced a settlement with
Centaurus Financial, Inc (CFI) and Patrick Michael Carroll.
FINRA issues cyber alert regarding NGINX critical vulnerability
The Financial Industry Regulatory Authority (FINRA) has warned firms of a security vulnerability that poses potentially severe risks to organizations using NGINX products.
FINRA fines Beta Capital Securities for alleged rule violations
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.
