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There are approximately 42 results for 文章 containing "FINRA"
FINRA Punishes BofA Securities for Inadequate Regulatory Systems

FINRA Punishes BofA Securities for Inadequate Regulatory Systems

FINRA fined BofA Securities Inc. $90,080 for violating regulations by filing untimely or inaccurate notices with regulators.
Brokers Voice06-25
Regulatory/FINRA
FINRA Fines TradeZero Redditor $250,000 for Marketing Failures

FINRA Fines TradeZero Redditor $250,000 for Marketing Failures

Retail investor trading platform TradeZero America, Inc. has been fined $250,000 by FINRA for reddit marketing failures.
Regula06-21
监管新闻/FINRA
MFSA Uncovers Hundreds of Financial Scams

MFSA Uncovers Hundreds of Financial Scams

MFSA has revealed that over 25% of the 474 investigations it carried out in 2023 were related to suspected unauthorized financial activities or scams.
Regula06-21
Regulatory/SEC/FINRA
Trade.com Launches Proprietary Trading Under Cyprus Entity

Trade.com Launches Proprietary Trading Under Cyprus Entity

Trade.com has become the latest retail forex and contract for difference (CFD) broker to launch prop trading services under the Trade brand, technically funded trader services。
Brokers Voice06-21
Brokers News/Forex Trading/FINRA
SEC charges Twenty Acre Capital with misleading ads

SEC charges Twenty Acre Capital with misleading ads

The SEC today announced charges against registered investment adviser Twenty Acre Capital LP for misleading performance advertising.
Regula06-17
Regulatory/SEC/FINRA
FINRA fines TradeZero America for social media violations

FINRA fines TradeZero America for social media violations

TradeZero America, Inc. agreed to pay a $250,000 fine as part of a settlement with FINRA.
Regula06-12
Regulatory/FINRA
FINRA fines ACS for alleged breach of SHO regulations

FINRA fines ACS for alleged breach of SHO regulations

As part of a settlement with FINRA, ACS Execution Services LLC agreed to pay a $250,000 penalty.
Regula06-12
Regulatory/FINRA
FINRA fines Crown Capital Securities

FINRA fines Crown Capital Securities

Crown Capital Securities has agreed to pay a $50,000 fine as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Regula06-07
Regulatory/FINRA
FINRA Fines BofA for Alleged Rule Violations

FINRA Fines BofA for Alleged Rule Violations

BofA Securities, Inc has agreed to pay a fine of $90,080 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Regula05-31
Regualtory/FINRA
FINRA imposes $115k fine on Creand Securities for alleged rule violations

FINRA imposes $115k fine on Creand Securities for alleged rule violations

Creand Securities has agreed to pay a fine of $115,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Regula05-22
Regulatory/FINRA
FINRA fined for Arive Capital breach of telemarketing restrictions

FINRA fined for Arive Capital breach of telemarketing restrictions

Arive Capital Markets has agreed to pay a fine of $300,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Regula05-16
Regulatory/FINRA
FINRA Fines Merrill Lynch $825,000

FINRA Fines Merrill Lynch $825,000

Merrill Lynch Securities Co. agrees to pay 82.$50,000 fine as part of settlement with FINRA。
Regula05-11
Regulatory/FINRA
FINRA Fines Oppenheimer $500,000

FINRA Fines Oppenheimer $500,000

Oppenheimer & amp; Co.Inc.has agreed to pay a fine of $500,000 as a part of a settlement with the FINRA.
Regula05-09
Regulatory/FINRA
FINRA fines M1 Finance for SHO breach

FINRA fines M1 Finance for SHO breach

As part of its settlement with the FINRA, M1 Finance LLC agreed to pay a $400,000 fine.
Regula05-08
Regulatory/FINRA
FINRA fines RBC Capital Markets $375,000 for alleged violations

FINRA fines RBC Capital Markets $375,000 for alleged violations

As part of its settlement with the Financial Industry Regulatory Authority (FINRA), RBC Capital Markets, LLC has agreed to pay 37.$50,000 fine.
Regula05-06
FINRA
FINRA fines EarlyBirdCapital for reporting defects

FINRA fines EarlyBirdCapital for reporting defects

EarlyBirdCapital, Inc. agreed to pay a $150,000 fine as part of a settlement with FINRA.
Regula04-24
Regulatory/FINRA
Flow Traders Fined $50,000 for FINRA Rule Violations

Flow Traders Fined $50,000 for FINRA Rule Violations

From at least August 2019 to April 2023, Flow Traders failed to establish, document and maintain financial risk management controls.
Regula04-18
Regulatory/FINRA
Barclays Capital agrees to pay FINRA $700,000 fine

Barclays Capital agrees to pay FINRA $700,000 fine

As part of its settlement with the Financial Industry Regulatory Authority (FINRA), Barclays Capital Inc has agreed to pay a $700,000 fine.。
Regula04-15
Regulatory/FINRA
FINRA fines DAI Securities $50,000

FINRA fines DAI Securities $50,000

As part of its settlement with the Financial Industry Regulatory Authority (FINRA), DAI Securities, LLC has agreed to pay a $50,000 fine.。
Regula04-12
Regulatory/FINRA
FINRA Fines Murray Securities for Violations of Regulations

FINRA Fines Murray Securities for Violations of Regulations

FINRA fined Murray Securities, Inc. $35,000.
Regula04-10
Regulatory/FINRA
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