FINRA Slaps $6.5 Million Fine on LPL Financials The regulatory authority fined LPL for failing to establish a supervisory system to meet compliance requirements.
Wall Street Regulator Sounds Alarm over Email Phishing Scam The mass email scam appears to be from the source domain name '@invest-finra.org'.
FINRA Imposes $150,000 Fine on Santander Investment Securities The authority imposed a penalty on Santander as the firm failed to capture 6 million emails due to a ...
Global Relay Has Named Chip Jones as VP of Compliance Jones brings unrivalled industry insight and expertise to its leadership team.
FINRA Slaps $475,000 Fine on CitiGroup Global Markets The authority fined CitiGroup for failing to disclose potential conflict of interest related to equity research reports.
FINRA Veteran Michael Rufino to Leave the US Regulator after 32 Years Rufino will leave the US authority at the end of this year.
tZERO Gets FINRA’s Nod for Retail Broker-Dealer Subsidiary The company is planning for launch in a couple of months.
State Street Settles Charges with FINRA for $75,000 Fine The broker did not admit or deny the allegations, but settled to prevent the regulator from taking any further ...
FINRA Settles Charges Against BGC Financial for $100,000 Fine The broker did not accept or reject the charges against it.
Morgan Stanley Accepts $175,000 Fine from FINRA to Settle Charges FINRA has accused the bank of failing to supervise one of its registered representatives.
FINRA Warns Member Firms Against Imposter Domain Name FINRA has requested that the Internet domain registrar suspend services for “finnra.org”.
FINRA Orders Merrill Lynch to Pay $150K Fine for Bad Trade Data Merrill Lynch did not have adequate systems and controls in place to detect and prevent the violations.
FINRA Slaps $175,000 Fine at Virtu for Not Offering Best Execution The company did not admit or deny the allegations.
Citadel Securities Fined $700K for Alleged Breach of FINRA Rules FINRA accused the company of trading ahead of certain inactive OTC customer orders.
FINRA Fines Morgan Stanley Over Inaccurate Trading Data These problems involved nearly 869 inaccurate blue sheets on at least 156,678 options transactions.
Société Générale’s US Brokerage Pays $3.1M on ‘Blue Sheet’ Case Finra and SEC faulted SG Americas Securities for providing deficient blue sheet submissions.
Sterling Trading Tech Gets FINRA Approval as CAT Reporting Agent The company can serve as the designated CAT reporting agent for its clients.
Wall Street Regulator Tags Bank of America with $7.2 Million Fine The investment bank agreed to pay the fine to resolve allegations that it excessively charged over 13,000 mutual fund ...
SIFMA Reaches Settlement with US Exchanges for CAT Dispute US Exchanges have agreed to remove language which limits their liability should the CAT database be breached.