featured, FINRA, M1 Finance
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M1 Finance LLC has agreed to pay a fine of $400,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
featured, FINRA, FINRA fine, M1 Finance, social media influencers
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This case arises from FINRA’s targeted exam of firm practices related to the acquisition of customers through social media channels.
FINRA, M1 Finance, Open to the Public Investing, securities lending, SoFi Securities, SogoTrade
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The over $1 million in restitution compensates customers whose securities were lent out over a dividend date.
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