Moody Capital Solutions gets a slap on the wrist for alleged violations of FINRA rules
Moody Capital Solutions, Inc has agreed to pay a fine of $50,000 as a part of a settlement with FINRA.
FINRA News
Cape Securities to pay $145k in restitution to settle with FINRA
Cape Securities Inc has agreed to pay restitution of $145,072 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $100k fine on IFP Securities
IFP Securities, LLC has agreed to pay a fine of $100,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $550k fine on Blue Ocean ATS
Blue Ocean ATS has agreed to pay a fine of $550,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Liquidnet agrees to pay $250k fine to settle with FINRA
Liquidnet, 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 $250k fine on Oppenheimer & Co for alleged rule violations
Oppenheimer & Co. 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 $200k fine on Cambridge Investment Research for alleged rule violations
Cambridge Investment Research, Inc has agreed to pay a fine of $200,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines SWBC Investment Services for failing to maintain minimum required net capital
SWBC Investment Services, LLC has agreed to pay a fine of $25,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
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 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.
