BIDS Trading to pay $200,000 fine for overstating its advertised trade volume
From July 2018 to August 2019, BIDS overstated its advertised trade volume on Bloomberg and Thomson Reuters.
From July 2018 to August 2019, BIDS overstated its advertised trade volume on Bloomberg and Thomson Reuters.
FINRA has fined Wefunder and StartEngine a combined $1.75 million for failing to comply with securities laws and rules.
Between April 2018 and January 2021, Morgan Stanley deleted 28,109 expiring OTC option positions from its reports to LOPR.
From July 2018, through September 2021, UBS failed to timely report approximately 3,850 transactions in TRACE-eligible securities.
Between September 2017 and October 2020, Wolfe Research overstated its executed daily trading volume advertised through Bloomberg, L.P.
FINRA extended hearing panel has expelled Salt Lake City-based broker-dealer Alpine Securities Corp. from FINRA membership.
Between February 2013 and June 2019, Natixis Securities Americas failed to report 82,311 short interest positions totaling more than 9 billion shares.
Performance Trust Capital Partners has agreed to pay a fine of $115,000 as a part of a settlement with FINRA.
Aegis Investments failed to conduct annual independent testing of the firm’s AML compliance program between 2011 and 2020.
Between January 2017 and January 2021, Crown Capital paid $19.3 million in transaction-based compensation to unregistered entities.