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supervisory failures

fined

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
Barclays

Barclays fined $1.3 Million for failures and violations

04/08/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Barclays Capital Inc. $1.3 million for systemic Order Audit Trail System (OATS) reporting violations and related supervisory ... Read More
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FINRA Sanctions Barclays Capital, Inc. $13.75 Million for Unsuitable Mutual Fund Transactions and Related Supervisory Failures

30/12/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Barclays Capital, Inc. to pay more than $10 million in restitution, including interest, to affected customers for ... Read More
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FINRA Orders RBC to Pay Fine

24/04/2015(0)
FINRA has issued a press release to inform that: It has ordered RBC Capital Markets to pay a $1 million fine and approximately $434,000 in restitution to customers for ... Read More
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FINRA Fines Pershing LLC $3 Million for Customer Protection Rule Violations and Supervisory Failures

30/12/2014(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Pershing LLC $3 million for violating the Customer Protection Rule and for related supervisory failures. ... Read More
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