FINRA imposes $650k fine on Interactive Brokers
Electronic trading major Interactive Brokers LLC has agreed to pay a fine of $650,000 as a part of a settlement with FINRA.
FINRA News
FINRA fines Stifel, Nicolaus & Company for deficient reports
Stifel, Nicolaus & Company, Incorporated has agreed to pay $175,000 fine for alleged violations of FINRA rules.
FINRA orders PFS Investments to pay $710k in restitution to customers who paid excess fees
PFS Investments Inc has agreed to pay $710,738.55 in restitution to customers who paid excess sales charges and fees.
FINRA imposes $275k fine on Wells Fargo Clearing Services
Wells Fargo Clearing Services, LLC has agreed to pay a fine of $275,000 as a part of a settlement with FINRA.
FINRA imposes $250k fine on Goldman Sachs for alleged rule violations
Goldman Sachs & Co. LLC has agreed to pay a fine of $250,000 as a part of a settlement with FINRA.
FINRA fines Odeon Capital Group for failing to adequately supervise for prearranged trading
Odeon Capital Group LLC has agreed to pay a fine of $75,000 as a part of a settlement with FINRA.
FINRA fines D. Boral Capital for failing to maintain minimum required net capital
D. Boral Capital has agreed to a fine and a censure as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Noble Capital Markets for alleged rule violations
Noble Capital Markets, Inc has agreed to a fine and a censure as a part of a settlement with FINRA.
FINRA fines TradeStation Securities for deficiencies in communications regarding crypto assets
TradeStation Securities, Inc. has agreed to pay a fine of $85,000 as a part of a settlement with FINRA.
FINRA fines Greenbird Capital for engaging in cold calling
Greenbird Capital LLC has agreed to pay a fine of $50,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
