FINRA imposes $125k fine on Moomoo Financial
Moomoo Financial Inc., formerly known as Futu Inc, has agreed to pay a fine of $125,000 as a part of a settlement with FINRA.
FINRA
FINRA fines J. Alden Associates for alleged rule violations
J. Alden Associates, Inc has agreed to pay a fine of $40,000 as a part of a settlement with FINRA.
Navaid Financial Services to pay $35k fine to settle with FINRA
Navaid Financial Services, Inc has agreed to pay a fine of $35,000 as a part of a settlement with FINRA.
Barclays Capital to pay $325k fine as part of settlement with FINRA
Barclays Capital Inc has agreed to pay a fine of $325,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $125k fine on Intesa Sanpaolo IMI Securities Corp
Intesa Sanpaolo IMI Securities Corp has agreed to pay a fine of $125,000 as a part of a settlement with FINRA.
FINRA imposes $300k fine on BMO Capital Markets Corp
BMO Capital Markets Corp has agreed to pay a fine of $300,000 as a part of a settlement with FINRA.
FINRA files complaint against Spartan Capital Securities for alleged rule violations
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against Spartan Capital Securities, LLC, John Lowry, and Kim Monchik.
FINRA imposes $625k fine on Nomura Securities International for alleged rule violations
Nomura Securities International, Inc. (NSI) has agreed to pay a fine of $625,000 as a part of a settlement with FINRA.
FINRA fines Oakwood Capital Securities for alleged rule violations
Oakwood Capital Securities has agreed to pay a fine of $20,000 as a part of a settlement with FINRA.
FINRA fines Piper Sandler & Co for alleged reporting deficiencies
Piper Sandler & Co has agreed to pay a fine of $95,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
