featured, FINRA, SpeedTrader
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SpeedTrader, Inc., formerly known as Mint Global Markets, Inc., has reached a settlement with FINRA.
featured, FINRA, Wedbush Securities
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Wedbush Securities Inc has agreed to pay a fine of $425,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
TradeUP Securities, Inc. has agreed to pay a fine of $300,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Dalmore, featured, FINRA
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Dalmore Group LLC has agreed to pay a fine of $375,000 as a part of a settlement with the
Financial Industry Regulatory Authority (FINRA).
featured, FINRA, Pershing
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Pershing LLC has agreed to pay a fine of $150,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
featured, FINRA, WeChat
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The Financial Industry Regulatory Authority (FINRA) has suspended John C. Shen for 30 days due to his use of WeChat.
Brex Treasury, featured, FINRA
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Brex Treasury LLC has agreed to pay a fine of $900,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
BBVA Securities, featured, FINRA
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BBVA Securities Inc has agreed to pay a fine of $175,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Barclays, featured, FINRA
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Barclays Capital Inc. has agreed to pay a fine of $1,250,000 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 $100,000 as a part of a settlement with FINRA.
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