FINRA fines J.P. Morgan Securities $250k for alleged rule violations
J.P. Morgan Securities LLC (JPMS) has agreed to pay a fine of $250,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA
FINRA imposes $100k fine on WallachBeth Capital
WallachBeth Capital 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 Charles Schwab & Co
Charles Schwab & Co., Inc has agreed to pay a fine of $175,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA warns ExfilSquad conducting data extortion campaign targeting financial services firms
The Financial Industry Regulatory Authority (FINRA) has issued a warning to financial services firms regarding threat actors.
FINRA fines Moors & Cabot for AML deficiencies
Moors & Cabot, Inc has agreed to pay a fine of $125,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Cowen and Company for alleged rule violations
The Financial Industry Regulatory Authority (FINRA) has imposed a fine on Cowen and Company.
FINRA imposes $125k fine on Raymond James & Associates
Raymond James & Associates, Inc has agreed to pay a fine of $125,000 as a part of a settlement with FINRA.
FINRA imposes $115k fine on Webull Financial
Webull Financial LLC has agreed to pay a fine of $115,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $20M fine on UBS Financial for AML violations
The Financial Industry Regulatory Authority (FINRA) has fined UBS Financial Services Inc $20 million for anti-money laundering (AML) violations.
FINRA imposes $275k fine on RBC Capital Markets
RBC Capital Markets, LLC has agreed to pay a fine of $275,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
