FINRA imposes $335k fine on Prime Number Capital
Prime Number Capital, LLC has agreed to pay a fine of $335,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA
FINRA imposes $210k fine on TradingBlock
TradingBlock has agreed to pay a fine of $210,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $135k fine on Paulson Investment Company for alleged rule violations
Paulson Investment Company LLC has agreed to pay a fine of $135,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Fortrend Securities for alleged rule violations
Fortrend Securities, Inc has agreed to pay a fine of $30,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $200k fine on tastytrade for alleged deficiencies in customer complaints handling
tastytrade, Inc., formerly known as tastyworks, Inc, has agreed to pay a fine of $200,000 as a part of a settlement with FINRA.
FINRA issues cyber alert regarding GitHub security incident
The Financial Industry Regulatory Authority (FINRA) has issued a cyber alert regarding GitHub security incident.
FINRA fines BCP Securities for alleged rule violations
BCP Securities, Inc has agreed to pay a fine of $85,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines Dinosaur Financial Group for alleged rule violations
Dinosaur Financial Group, LLC has agreed to pay a fine of $85,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA to review firm practices regarding higher-risk structured products
The Financial Industry Regulatory Authority (FINRA) announced today that it will review firm practices regarding higher-risk structured products.
FINRA imposes $100k fine on World Investments for alleged rule violations
World Investments, LLC has agreed to pay a fine of $100,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
