Citi, featured, FINRA
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Citigroup Global Markets Inc (CGMI) has agreed to pay a fine of $1,400,000 as a part of a settlement with FINRA.
featured, FINRA, Signet Securities
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Signet Securities, LLC has agreed to pay a fine of $100,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
featured, FINRA, Merrill Lynch
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Merrill Lynch, Pierce, Fenner & Smith Incorporated has agreed to pay a fine of $2 million as a part of a settlement with FINRA.
featured, FINRA, Oak Ridge
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The Oak Ridge Financial Services Group, Inc. has agreed to a $270,000 fine as a part of a settlement with FINRA.
featured, FINRA, SpeedTrader
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SpeedTrader, Inc., formerly known as Mint Global Markets, Inc., has reached a settlement with FINRA.
featured, FINRA, Wedbush Securities
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Wedbush Securities Inc has agreed to pay a fine of $425,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
TradeUP Securities, Inc. has agreed to pay a fine of $300,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Dalmore, featured, FINRA
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Dalmore Group LLC has agreed to pay a fine of $375,000 as a part of a settlement with the
Financial Industry Regulatory Authority (FINRA).
featured, FINRA, Pershing
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Pershing LLC has agreed to pay a fine of $150,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
featured, FINRA, Wells Fargo Clearing Services
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Wells Fargo Clearing Services, LLC has agreed to pay a fine of $400,000 as a part of a settlement with FINRA.
