FINRA fines Andes Capital Group for alleged Reg BI violations
Andes Capital Group, LLC has agreed to pay a fine of $25,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA News
FINRA suspends, fines former Spartan Capital Securities’ branch manager
Frederick Joseph Cammarano III has agreed to pay a $15,000 fine and to be suspended for eighteen months from associating with any FINRA member in all principal capacities.
FINRA fines Barclays Capital for alleged violations of Regulation SHO
Barclays Capital Inc has agreed to pay a fine of $140,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines, suspends trader for alleged rule violations
Peter M. Rosten has agreed to pay a fine of $25,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Brentwood Capital Advisors for AML compliance program deficiencies
Brentwood Capital Advisors LLC has agreed to pay a fine of $45,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $125k fine on Wells Fargo Clearing Services
Wells Fargo Clearing Services, LLC has agreed to pay a fine of $125,000 as a part of a settlement with FINRA.
FINRA imposes $125k fine on MCAP
MCAP LLC has agreed to pay a fine of $125,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $250k fine on Great Point Capital for alleged rule violations
Great Point Capital LLC has agreed to pay a fine of $250,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $3.25M fine on J.P. Morgan Securities
J.P. Morgan Securities LLC has agreed to pay a fine of $3.25 million as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $450k fine on Ameriprise Financial Services
Ameriprise Financial Services, LLC has agreed to pay a fine of $450,000 as a part of a settlement with FINRA.
