FINRA imposes $150k fine on Wedbush Securities
FINRA has fined Wedbush Securities for failing to maintain possession or control of customers’ fully paid and excess margin securities.
FINRA
FINRA fines SG Americas Securities for alleged rule violations
SG Americas Securities, LLC has agreed to pay a fine of $90,000 as a part of a settlement with FINRA.
FINRA fines Supreme Alliance for alleged rule violations
Supreme Alliance LLC has agreed to pay a fine of $80,000 as a part of a settlement with FINRA.
Interactive Brokers to pay $150k fine for alleged violations of FINRA rules
Interactive Brokers LLC has agreed to pay a fine of $150,000 as a part of a settlement with FINRA.
FINRA fines CIBC World Markets Corp $425k for alleged rule violations
CIBC World Markets Corp has agreed to pay a fine of $425,000 as a part of a settlement with FINRA.
FINRA imposes $100k fine on Independent Financial Group
Independent Financial Group, LLC has agreed to pay a fine of $100,000 as a part of a settlement with FINRA.
FINRA imposes $155k fine on BofA Securities
BofA Securities, Inc has agreed to pay a fine of $155,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $250k fine on Vision Financial Markets
Vision Financial Markets LLC has agreed to pay a fine of $250,000 as a part of a settlement with FINRA.
FINRA fines Puente Servicios Financieros for failing to disclose required mark-up and mark-down info
Puente Servicios Financieros LLC has agreed to pay a fine of $20,000 as a part of a settlement with FINRA.
Barclays Capital to pay $150k fine for alleged violation of FINRA rules
Barclays Capital Inc has agreed to pay a fine of $150,000 as a part of a settlement with FINRA.
