BofA Securities, featured, FINRA, spoofing
0 Comments
FINRA announced today that it has fined BofA Securities, Inc. $24 million for engaging in more than 700 instances of spoofing.
featured, FINRA, Wedbush Securities
0 Comments
Wedbush Securities Inc has agreed to pay a fine of $350,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Haywood Securities has agreed to pay a fine of $175,000 as a part of settlement with the Financial Industry Regulatory Authority (FINRA).
featured, FINRA, Tradition, Tradition Securities & Derivatives
0 Comments
Tradition Securities and Derivatives LLC has agreed to pay a fine of $140,000 for alleged FINRA rule violations.
Decker & Co, LLC has agreed to pay a fine of $35,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
On August 12, 2021, an unauthorized third-party gained access to Bolton’s network, exposing nonpublic information for over 6,000 firm customers.
ETC, featured, FINRA
0 Comments
Electronic Transaction Clearing, Inc. has agreed to pay a fine of $100,000 for violations of FINRA registration requirements.
featured, FINRA, Odeon Capital
0 Comments
From July 2016 through April 2018 and from August 2021 through March 2022, Odeon Capital failed to timely report approximately 640 trades.
featured, Fidelity, FINRA, options trading
0 Comments
From May 2017 through April 2022, Fidelity did not exercise reasonable due diligence before approving customers to trade options.
Bank of America, BofA Securities, FINRA, NYSE:BAC, OTC options
0 Comments
Between January 2009 and October 2020, BofAS failed to report OTC options positions to the LOPR in more than 7.4 million instances.
