FINRA fines Percent Securities for alleged rule violations
Percent Securities, LLC has agreed to pay a fine of $60,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA
FINRA imposes $225k fine on Merrill Lynch
Merrill Lynch, Pierce, Fenner & Smith Incorporated has agreed to pay a fine of $225,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FCA fines Chief Exec of BancTrust for disclosure failures
The UK Financial Conduct Authority (FCA) has decided to fine Carlos Fuenmayor, the Chief Executive of BancTrust.
FINRA imposes $335k fine on Prime Number Capital
Prime Number Capital, LLC has agreed to pay a fine of $335,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $210k fine on TradingBlock
TradingBlock has agreed to pay a fine of $210,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $135k fine on Paulson Investment Company for alleged rule violations
Paulson Investment Company LLC has agreed to pay a fine of $135,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Fortrend Securities for alleged rule violations
Fortrend Securities, Inc has agreed to pay a fine of $30,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $200k fine on tastytrade for alleged deficiencies in customer complaints handling
tastytrade, Inc., formerly known as tastyworks, Inc, has agreed to pay a fine of $200,000 as a part of a settlement with FINRA.
FINRA issues cyber alert regarding GitHub security incident
The Financial Industry Regulatory Authority (FINRA) has issued a cyber alert regarding GitHub security incident.
FINRA fines BCP Securities for alleged rule violations
BCP Securities, Inc has agreed to pay a fine of $85,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
