Barclays Capital to pay $325k fine as part of settlement with FINRA
Barclays Capital Inc has agreed to pay a fine of $325,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA News
FINRA imposes $125k fine on Intesa Sanpaolo IMI Securities Corp
Intesa Sanpaolo IMI Securities Corp has agreed to pay a fine of $125,000 as a part of a settlement with FINRA.
FINRA imposes $300k fine on BMO Capital Markets Corp
BMO Capital Markets Corp has agreed to pay a fine of $300,000 as a part of a settlement with FINRA.
FINRA files complaint against Spartan Capital Securities for alleged rule violations
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against Spartan Capital Securities, LLC, John Lowry, and Kim Monchik.
FINRA imposes $625k fine on Nomura Securities International for alleged rule violations
Nomura Securities International, Inc. (NSI) has agreed to pay a fine of $625,000 as a part of a settlement with FINRA.
FINRA fines Oakwood Capital Securities for alleged rule violations
Oakwood Capital Securities has agreed to pay a fine of $20,000 as a part of a settlement with FINRA.
FINRA fines Piper Sandler & Co for alleged reporting deficiencies
Piper Sandler & Co has agreed to pay a fine of $95,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $150k fine on Wedbush Securities
FINRA has fined Wedbush Securities for failing to maintain possession or control of customers’ fully paid and excess margin securities.
FINRA fines SG Americas Securities for alleged rule violations
SG Americas Securities, LLC has agreed to pay a fine of $90,000 as a part of a settlement with FINRA.
FINRA fines Supreme Alliance for alleged rule violations
Supreme Alliance LLC has agreed to pay a fine of $80,000 as a part of a settlement with FINRA.
