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 News
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).
FINRA imposes $600k fine on BTIG
BTIG, LLC has agreed to pay a fine of $600,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Aegis Capital Corp for alleged rule violations
Aegis Capital Corp has agreed to pay a fine as a part of a settlement with the Financial Industry Regulatory Authority.
FINRA imposes $450k fine on Stash Capital for alleged rule violations
Stash Capital LLC has agreed to pay a fine of $450,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $300k fine on Alpaca Securities for alleged trade reporting deficiencies
Alpaca Securities LLC has agreed to pay a fine of $300,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $200k fine on VectorGlobal WMG
VectorGlobal WMG, Inc has agreed to pay a fine of $200,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA files complaint against Spartan Capital Securities, CEO, former CCO
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against Spartan Capital Securities LLC.
FINRA imposes $100k fine on Ultima Global Markets for alleged rule violations
The Ultima Global Markets (USA), Inc., formerly known as BCS Global Markets, has agreed to pay a fine of $100,000 as a part of a settlement with FINRA.
FINRA fines Arcadia Securities for failing to comply with minimum net capital requirements
Arcadia Securities LLC has agreed to pay a fine of $40,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
