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 News
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).
FINRA imposes $175k fine on Clear Street
Clear Street LLC has agreed to pay a fine of $175,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA files complaint against Spartan Capital Securities
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against Spartan Capital Securities, LLC.
FINRA imposes $150k fine on Kingswood Capital Partners
Kingswood Capital Partners, LLC has agreed to pay a fine of $150,000 as a part of a settlement with FINRA.
FINRA fines Flow Traders U.S. Institutional Trading for alleged reporting deficiencies
Flow Traders U.S. Institutional Trading LLC has agreed to pay a fine of $75,000 as a part of a settlement with FINRA.
FINRA imposes $125k fine on Moomoo Financial
Moomoo Financial Inc., formerly known as Futu Inc, has agreed to pay a fine of $125,000 as a part of a settlement with FINRA.
FINRA fines J. Alden Associates for alleged rule violations
J. Alden Associates, Inc has agreed to pay a fine of $40,000 as a part of a settlement with FINRA.
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 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.
