FINRA

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.

The regulator said the bank failed to timely report a number of fixed income transactions.

Among other things, GFI failed to prevent the entry of orders that exceeded appropriate pre-set credit thresholds.

The company and the regulator have reached a settlement agreement.

Wall Street’s watchdog found that the firm failed to avoid displaying, locking or crossing quotations in OTC Equity Securities.

Tom Selman’s last day at the regulator was January 31, 2020.

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Credit Suisse failed to address nearly 50,000 alerts from FINRA for potential manipulative trading over a 4 year period.

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Although BNP transacted over 70,000 wire transfers worth $233 billion, it relied on only one investigator to review AML ...

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