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
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).
FINRA imposes $800k fine on Revere Securities
The Financial Industry Regulatory Authority (FINRA) has fined Revere Securities LLC $800,000 for anti-money laundering (AML) and supervisory violations.
FINRA fines David Lerner Associates for alleged rule violations
David Lerner Associates, Inc has agreed to pay a fine of $15,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA bars former registered rep of LPL Financial for misappropriating $1.7M from customers’ accounts
FINRA has barred Rudy Anguiano of Chino Hills, CA, a former registered representative of LPL Financial LLC, from associating with any FINRA member firm in all capacities.
FINRA imposes $275k fine on Haywood Securities (USA) for alleged rule violations
Haywood Securities (USA) Inc has agreed to pay a fine of $275,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $950k fine on Vanguard Marketing Corporation
Vanguard Marketing Corporation (VMC) has agreed to pay a fine of $950,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Truist Investment Services to pay $275k fine for alleged FINRA rule violations
Truist Investment Services, Inc has agreed to pay a fine of $275,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA orders American Portfolios to pay $400k in fines, $1.2M in restitution
The Financial Industry Regulatory Authority (FINRA) has ordered American Portfolios Financial Services, Inc. to pay $1,232,939 in restitution, plus interest.
FINRA imposes $100k fine on Marex Capital Markets
Marex Capital Markets Inc., formerly known as ED&F Man Capital Markets Inc, has agreed to pay a fine of $100,000.
