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.
FINRA
FINRA fines Maxim Group for alleged rule violations
Maxim Group LLC has agreed to pay a fine of $35,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $130k fine on FMSbonds
FMSbonds, Inc has agreed to pay a fine of $130,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Colorado Financial Service Corporation for alleged rule violations
Colorado Financial Service Corporation has agreed to pay a fine of $45,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines J.P. Morgan Securities $250k for alleged rule violations
J.P. Morgan Securities LLC (JPMS) has agreed to pay a fine of $250,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $100k fine on WallachBeth Capital
WallachBeth Capital LLC has agreed to pay a fine of $100,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $175k fine on Charles Schwab & Co
Charles Schwab & Co., Inc has agreed to pay a fine of $175,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA warns ExfilSquad conducting data extortion campaign targeting financial services firms
The Financial Industry Regulatory Authority (FINRA) has issued a warning to financial services firms regarding threat actors.
FINRA fines Moors & Cabot for AML deficiencies
Moors & Cabot, Inc has agreed to pay a fine of $125,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Cowen and Company for alleged rule violations
The Financial Industry Regulatory Authority (FINRA) has imposed a fine on Cowen and Company.
