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FINRA

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LPL Financial fined millions

01/11/2018(0)
The Financial Industry Regulatory Authority (FINRA), a not-for-profit organization dedicated to investor protection and market integrity in USA, has issued an announcement to inform that it has fined LPL ... Read More
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Interactive Brokers to pay a $5.5 Million fine

21/08/2018(0)
The Financial Industry Regulatory Authority (FINRA) has issued a press release to announce that it has fined Interactive Brokers LLC (Interactive) $5.5 million for Regulation SHO violations and supervisory ... Read More
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Institutional brokerage provider fined $1.5 Million

06/02/2018(0)
The Financial Industry Regulatory Authority (FINRA) announced that it has fined Wedbush Securities Inc. $1.5 million for violating the Securities and Exchange Commission’s (SEC) Customer Protection and Net Capital ... Read More
JPMorgan

J.P. Morgan Securities fined $1.25 Million

22/11/2017(0)
The Financial Industry Regulatory Authority (FINRA) announced it has fined J.P. Morgan Securities, LLC $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600, or ... Read More
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Wells Fargo Broker-Dealers to Pay $3.4 Million

17/10/2017(0)
The Financial Industry Regulatory Authority (FINRA) announced that it has ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 million ... Read More
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FINRA fines broker dealer $750,000

13/09/2017(0)
FINRA Hearing Panel Fines C.L. King & Associates $750,000 for Negligent Misrepresentations and Omissions in Connection with Death Put Investments and AML-Related Violations The Financial Industry Regulatory Authority (FINRA) ... Read More
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FINRA Bars Former Morgan Stanley Registered Representative

02/06/2017(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former Morgan Stanley Smith Barney registered representative John Batista Bocchino for concealing approximately $190 million in Venezuelan ... Read More
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FINRA Board approves proposals to strengthen controls on high-risk brokers

12/05/2017(0)
The Financial Industry Regulatory Authority (FINRA) Board of Governors approved the next step in FINRA’s ongoing initiative to strengthen controls on brokers with a history of significant past misconduct ... Read More
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FINRA and Exchanges charge Lek Securities and CEO Samuel F. Lek

28/03/2017(0)
FINRA and Exchanges Charge Lek Securities and CEO Samuel F. Lek with Aiding and Abetting Securities Fraud Charges Also Include Market Access Rule, Supervisory and Other Violations The Financial ... Read More
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FINRA warns for Binary Options Follow-Up Schemes

18/03/2017(0)
The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert warning anyone involved in binary options trading through unregistered non-U.S. companies to be on guard for a one-two ... Read More
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