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 News
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.
FINRA imposes $150k fine on Cambridge Investment Research
Cambridge Investment Research, Inc has agreed to pay a fine of $150,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Chapin Davis for failing to maintain required minimum net capital
Chapin Davis has agreed to pay a fine of $45,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
