FINRA imposes $120k fine on Dinosaur Financial Group
Dinosaur Financial Group, LLC has agreed to pay a fine of $120,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA
FINRA imposes $250k fine on Citigroup Global Markets Inc
Citigroup Global Markets Inc has agreed to pay a fine of $250,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $4.2M fine on Webull for AML and best execution violations
FINRA has fined Webull Financial LLC $4.2 million for failing to implement reasonably designed programs for anti-money laundering (AML).
FINRA imposes $250k fine on Apex Clearing Corporation for alleged rule violations
Apex Clearing Corporation has agreed to pay a fine of $250,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Omni Financial Securities for alleged rule violations
Omni Financial Securities, Inc has agreed to pay a fine of $10,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $500k fine on First Citizens Investor Services for alleged rule violations
First Citizens Investor Services, Inc (FCIS) has agreed to pay a fine of $500,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $100k fine on Joseph Gunnar & Co
Joseph Gunnar & Co. LLC has agreed to pay a fine of $100,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Goldman Sachs for alleged rule violations
The Financial Industry Regulatory Authority (FINRA) has fined Goldman Sachs & Co. LLC for alleged rule violations.
FINRA fines Vistia Capital for alleged rule violations
Vistia Capital, LLC has agreed to pay a fine of $40,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines American Veterans Group for alleged rule violations
American Veterans Group, PBC has agreed to pay a fine of $70,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
