FINRA

The regulatory authority fined LPL for failing to establish a supervisory system to meet compliance requirements.

The mass email scam appears to be from the source domain name '@invest-finra.org'.

The bank accepted the censure and a fine of $75,000.

The authority imposed a penalty on Santander as the firm failed to capture 6 million emails due to a ...

Jones brings unrivalled industry insight and expertise to its leadership team.

The authority fined CitiGroup for failing to disclose potential conflict of interest related to equity research reports.

Rufino will leave the US authority at the end of this year.

The company is planning for launch in a couple of months.

The broker did not admit or deny the allegations, but settled to prevent the regulator from taking any further ...

The broker did not accept or reject the charges against it.

FINRA has accused the bank of failing to supervise one of its registered representatives.

FINRA has requested that the Internet domain registrar suspend services for “finnra.org”.

Merrill Lynch did not have adequate systems and controls in place to detect and prevent the violations.

The company did not admit or deny the allegations.

FINRA accused the company of trading ahead of certain inactive OTC customer orders.

These problems involved nearly 869 inaccurate blue sheets on at least 156,678 options transactions.

Finra and SEC faulted SG Americas Securities for providing deficient blue sheet submissions.

The company can serve as the designated CAT reporting agent for its clients.

The investment bank agreed to pay the fine to resolve allegations that it excessively charged over 13,000 mutual fund ...

US Exchanges have agreed to remove language which limits their liability should the CAT database be breached.

Viewing 1 - 20 of 109

1 2 3 … 6 >