Velocity Clearing to pay $1M fine for alleged non-compliance with rules prohibiting manipulative trading activity
Velocity Clearing, LLC has agreed to pay a fine of $1 million as a part of a settlement with FINRA.
FINRA
FINRA imposes $50k fine on Stockpile Investments
Stockpile Investments, Inc has agreed to pay a fine of $50,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $125k fine on Interactive Brokers for alleged rule violations
Interactive Brokers LLC has agreed to pay a fine of $125,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA fines ANZ Securities for reporting deficiencies
ANZ Securities, Inc. has agreed to pay a fine of $50,000 as a part of a settlement with FINRA.
FINRA imposes $125k fine on Oak Hills Securities
Oak Hills Securities, Inc. has agreed to pay a fine of $125,000 as a part of a settlement with FINRA.
Madison Global Partners gets a slap on the wrist for failing to maintain required minimum net capital
Madison Global Partners LLC has agreed to pay a fine of $20,000 as a part of a settlement with FINRA.
Jefferies to pay $1M fine for alleged violations of FINRA rules
Jefferies LLC has agreed to pay a fine of $1 million as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
FINRA imposes $125k fine on Madison Avenue Securities
Madison Avenue Securities LLC has agreed to pay a fine of $125,000 as a part of a settlement with FINRA.
FINRA suspends former Harley Capital rep for using personal phone for business-related messaging
The Financial Industry Regulatory Authority (FINRA) has fined and suspended Joseph Warner Rozof for using his personal phone for business communications.
JP Morgan Securities to pay $150k fine for alleged violations of FINRA rules
J.P. Morgan Securities LLC has agreed to pay a fine of $150,000 as a part of a settlement with FINRA.
