featured, FINRA, RBC Capital Markets
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RBC Capital Markets, LLC has agreed to pay a fine of $375,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
EarlyBird, featured, FINRA
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EarlyBirdCapital, Inc. has agreed to pay a fine of $150,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
featured, FINRA, Flow Traders
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From at least August 2019 through April 2023, Flow Traders failed to establish, document, and maintain financial risk management controls.
Barclays, featured, FINRA
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Barclays Capital Inc has agreed to pay a fine of $700,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
DAI Securities, featured, FINRA
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DAI Securities, LLC has agreed to pay a fine of $50,000 as part of a settlement with the
Financial Industry Regulatory Authority (FINRA).
featured, FINRA, Murray Securities
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The Financial Industry Regulatory Authority (FINRA) has imposed a fine of $35,000 on Murray Securities, Inc.
Cobra Trading, featured, FINRA, social media, social media influencers
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Cobra Trading, Inc. has agreed to pay a $200,000 fine as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
featured, FINRA, H2C Securities
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H2C Securities Inc has agreed to pay a fine of $250,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA has begun disseminating individual transactions in active U.S. Treasury securities at the end of the day.
featured, FINRA, FINRA fine, M1 Finance, social media influencers
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This case arises from FINRA’s targeted exam of firm practices related to the acquisition of customers through social media channels.
