FINRA fines SAL Equity Trading for reporting deficiencies
SAL Equity Trading, GP has agreed to pay a fine of $75,000 as a part of a settlement with FINRA.
FINRA News
FINRA imposes $225k fine on American Portfolios Financial Services
American Portfolios Financial Services, Inc has agreed to pay a fine of $225,000 as a part of a settlement with FINRA.
FINRA warns of risks stemming from extended-hours trading
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The Financial Industry Regulatory Authority (FINRA) has issued a notice explaining the risks associated with extended-hours trading.
FINRA imposes $475k fine on Western International Securities
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Western International Securities, Inc. has agreed to pay a fine of $475,000 as a part of a settlement with FINRA.
FINRA fines The Jeffrey Matthews Financial Group for charging unfair prices in bond transactions
The Jeffrey Matthews Financial Group violated FINRA Rules 2121 and 2010 and MSRB Rules G-30 and G-17 by charging unfair prices.
FINRA fines FNBB Capital Markets for alleged rule violations
FNBB Capital Markets, LLC 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 UBS Financial Services
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UBS Financial Services 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 RBC Capital Markets for alleged rule violations
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RBC Capital Markets, LLC has agreed to pay a fine of $75,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA orders Merrill Lynch to pay $1.48M in restitution to 1361 customers
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Merrill Lynch, Pierce, Fenner & Smith Incorporated has reached a settlement with FINRA for alleged rule violations.
FINRA reminds firms of their regulatory obligations when using Gen AI
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FINRA reminds its member firms that FINRA’s rules, and the securities laws more generally, continue to apply when member firms use Gen AI.
