FINRA fines Standard Chartered Securities North America
Standard Chartered Securities North America LLC has agreed to pay a fine of $95,000 as a part of a settlement with FINRA.
FINRA
FINRA fines SogoTrade for alleged rule violations
SogoTrade, Inc has agreed to pay a fine of $75,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Digital Brokerage Services to pay $85k fine for alleged deficiencies in crypto communications
Digital Brokerage Services LLC (DBS) has agreed to pay a fine of $85,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines The Benchmark Company
The Benchmark Company, LLC has agreed to pay a fine of $65,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Credit Suisse Securities (USA) for alleged rule violations
Credit Suisse Securities (USA) LLC has agreed to a fine as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $100k fine on Mundial Financial Group
Mundial Financial Group, LLC has agreed to pay a fine of $100,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $175k fine on Clear Street
Clear Street LLC has agreed to pay a fine of $175,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA files complaint against Spartan Capital Securities
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against Spartan Capital Securities, LLC.
FINRA imposes $150k fine on Kingswood Capital Partners
Kingswood Capital Partners, LLC has agreed to pay a fine of $150,000 as a part of a settlement with FINRA.
FINRA fines Flow Traders U.S. Institutional Trading for alleged reporting deficiencies
Flow Traders U.S. Institutional Trading LLC has agreed to pay a fine of $75,000 as a part of a settlement with FINRA.
