featured, FINRA, G1 Execution Services
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G1 Execution Services, LLC has agreed to pay a fine of $175,000 as a part of a settlement with FINRA.
Avenue Securities, featured, FINRA, influencer, social media influencers
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Avenue Securities LLC has agreed to pay a fine of $300,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Berkshire, featured, FINRA
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Berkshire Global Advisors LP has agreed to pay a fine of a $100,000 as a part of a settlement with FINRA.
featured, FINRA, UBS Financial Services
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UBS Financial Services Inc. has agreed to pay a fine of $1,100,000 as a part of a settlement with FINRA.
featured, FINRA, Wall Street Access
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Wall Street Access has agreed to pay a fine as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
featured, FINRA, Robinhood
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Benjamin Rosamond was involved in an outside business activity that hadn’t been previously disclosed or approved by Robinhood.
Ceros, featured, FINRA
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FINRA has imposed a fine of $90,000 as a part of a settlement with Ceros Financial Services, Inc.
The Financial Industry Regulatory Authority (FINRA) has fined Newbridge Securities Corporation.
featured, FINRA, Investments for You
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The Financial Industry Regulatory Authority (FINRA) has fined Investments for You, Inc. for alleged rule violations.
featured, Fidelity, FINRA
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Fidelity Brokerage Services LLC has agreed to pay a fine of $600,000 as a part of a settlement with FINRA.
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