FINRA fines Deutsche Bank securities arm $2M for best execution violations
Deutsche Bank’s SuperX system created an inherent delay for orders that were not fully executed in the firm’s ATS.
Deutsche Bank’s SuperX system created an inherent delay for orders that were not fully executed in the firm’s ATS.
FINRA’s Department of Enforcement alleges that WCM raised over $10 million in 22 offerings without disclosing a material conflict of interest.
From February 2014 through September 2019, Barclays failed to apply market access controls to orders routed by its risk management system.
Andrew Feist – then Interactive Brokers’ AMLCO – failed to establish a reasonably designed AML program at the firm.
FINRA announced today that it has fined Credit Suisse Securities $9 million for failing to comply with securities laws.
From February 2016 through November 2021, E*TRADE failed to achieve compliance with FINRA rules for detecting manipulative trading.
Jefferies LLC has agreed to pay a fine of $55,000 to settle allegations of violations of rules concerning transaction reports.
Merrill Lynch failed to detect that two of its registered representatives were able to steal in excess of $6 million from 13 customers.
FINRA is aware of the Log4J vulnerability and has taken immediate steps to neutralize the risk.
The “Log4Shell” vulnerability presents risk for FINRA member firms because they may be using this software in internal applications.