FINRA fines Newbridge Securities Corporation for deficient supervision of two reps
The Financial Industry Regulatory Authority (FINRA) has fined Newbridge Securities Corporation.
FINRA News
FINRA fines Investments for You for alleged rule violations
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The Financial Industry Regulatory Authority (FINRA) has fined Investments for You, Inc. for alleged rule violations.
FINRA imposes $600k fine on Fidelity Brokerage Services
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Fidelity Brokerage Services LLC has agreed to pay a fine of $600,000 as a part of a settlement with FINRA.
FINRA fines International Assets Advisory for alleged reporting deficiencies
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International Assets Advisory, LLC has agreed to a fine and a censure as a part of a settlement with FINRA.
FINRA imposes $250k fine on BofA Securities
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BofA Securities, Inc has agreed to pay a fine of $250,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $500k fine on UBS Financial Services
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UBS Financial Services Inc has agreed to pay a fine of $500,000 as a part of a settlement with FINRA.
Cambria Capital gets a slap on the wrist for alleged violations of FINRA rules
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Cambria Capital, LLC has agreed to pay a restitution of $48,435 as a part of a settlement with FINRA.
FINRA imposes $950k fine on SG Americas Securities for fingerprinting deficiencies
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SG Americas Securities, LLC has agreed to pay a fine of $950,000 as a part of a settlement with FINRA.
FINRA imposes $900k fine on LifeSci Capital
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LifeSci Capital, LLC has agreed to pay a fine of $900,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines BOK Financial Securities for reporting deficiencies
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BOK Financial Securities, Inc. has agreed to pay a fine of $110,000 as a part of a settlement with FINRA.
