FINRA fines ABN AMRO Capital for failing to maintain its required minimum net capital
ABN AMRO Capital Markets (USA) LLC has agreed to pay a fine of $50,000 as a part of a settlement with FINRA.
FINRA News
FINRA imposes $1.1M fine on Cetera Advisors, Cetera Wealth Services, and Cetera Investment Services
The Financial Industry Regulatory Authority (FINRA) has imposed a fine of $1.1 million on Cetera Advisors LLC and Cetera Wealth Services, LLC.
FINRA imposes $125k fine on BNP Paribas Securities Corp
BNP Paribas Securities Corp has agreed to pay a fine of $125,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines BNY Mellon Capital Markets for transaction reporting deficiencies
BNY Mellon Capital Markets, LLC has agreed to pay a fine of $60,000 as a part of a settlement with FINRA.
FINRA imposes $1.25M fine on Wells Fargo Clearing Services
Wells Fargo Clearing Services, LLC has agreed to pay a fine of $1.25 million as a part of a settlement with FINRA.
FINRA fines Standard Chartered Securities North America
Standard Chartered Securities North America LLC has agreed to pay a fine of $95,000 as a part of a settlement with FINRA.
FINRA fines SogoTrade for alleged rule violations
SogoTrade, Inc has agreed to pay a fine of $75,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines The Benchmark Company
The Benchmark Company, LLC has agreed to pay a fine of $65,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Credit Suisse Securities (USA) for alleged rule violations
Credit Suisse Securities (USA) LLC has agreed to a fine as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $100k fine on Mundial Financial Group
Mundial Financial Group, LLC has agreed to pay a fine of $100,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
