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BofA Securities
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Retail FX
FINRA Penalizes BofA Securities for Inadequate Supervisory Systems
2024-05-30T15:08:21.440+02:00
The regulator charged BofA Securities for violating security distribution regulations between 2019 and 2022.
These regulations aim to prevent manipulation by restricting certain actions that could influence pricing.
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Retail FX
FINRA Hits BofA Securities with $24 Million Penalty for Spoofing Breaches
2023-11-30T19:33:10.709+02:00
BofA Securities neither admitted nor denied FINRA's charges.
The firm allegedly engaged in 717 instances of spoofing.
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