featured, FINRA, Oppenheimer
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The Financial Industry Regulatory Authority (FINRA) has suspended former representative of Oppenheimer for nine months.
featured, FINRA, US Bancorp Investments
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U.S. Bancorp Investments, Inc has agreed to pay a fine of $500,000 as a part of a settlement with FINRA.
featured, FINRA, T3
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T3 Trading Group, LLC has agreed to pay a fine of $175,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
featured, FINRA, Interactive Brokers, options trading
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Electronic trading major Interactive Brokers LLC has agreed to pay a fine of $650,000 as a part of a settlement with FINRA.
featured, FINRA, Stifel
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Stifel, Nicolaus & Company, Incorporated has agreed to pay $175,000 fine for alleged violations of FINRA rules.
featured, FINRA, PFS Investments
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PFS Investments Inc has agreed to pay $710,738.55 in restitution to customers who paid excess sales charges and fees.
featured, FINRA, Wells Fargo
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Wells Fargo Clearing Services, LLC has agreed to pay a fine of $275,000 as a part of a settlement with FINRA.
featured, FINRA, Goldman Sachs
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Goldman Sachs & Co. LLC has agreed to pay a fine of $250,000 as a part of a settlement with FINRA.
featured, FINRA, Odeon Capital
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Odeon Capital Group LLC has agreed to pay a fine of $75,000 as a part of a settlement with FINRA.
D Boral Capital, featured, FINRA
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D. Boral Capital has agreed to a fine and a censure as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
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