FINRA fines CIBC World Markets Corp $425k for alleged rule violations
CIBC World Markets Corp has agreed to pay a fine of $425,000 as a part of a settlement with FINRA.
FINRA News
FINRA imposes $100k fine on Independent Financial Group
Independent Financial Group, LLC has agreed to pay a fine of $100,000 as a part of a settlement with FINRA.
FINRA imposes $155k fine on BofA Securities
BofA Securities, Inc has agreed to pay a fine of $155,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $250k fine on Vision Financial Markets
Vision Financial Markets LLC has agreed to pay a fine of $250,000 as a part of a settlement with FINRA.
FINRA fines Puente Servicios Financieros for failing to disclose required mark-up and mark-down info
Puente Servicios Financieros LLC has agreed to pay a fine of $20,000 as a part of a settlement with FINRA.
FINRA fines Alexander Investment Services for alleged violations of Regulation Best Interest
Alexander Investment Services Co has agreed to pay a fine of $25,000 as a part of a settlement with FINRA.
FINRA fines NexPoint Securities for failing to meet minimum net capital requirement
NexPoint Securities, Inc has agreed to pay a fine of $50,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA suspends former Synovus Securities administrative assistant
Amy Fulghum has agreed to a six-month suspension as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $650k fine on EFG Capital International for alleged rule violations
EFG Capital International has agreed to pay a fine of $650,000 as a part of a settlement with FINRA.
FINRA fines National Bank of Canada Financial for alleged reporting deficiencies
National Bank of Canada Financial Inc has agreed to pay a fine of $70,000 as a part of a settlement with FINRA.
