Advertise With Us
Sign up for our Newsletter
Join Our Directory
Open an Account

FINRA

finra1

FINRA USA Fines Aegis Capital Corp. $950,000

05/08/2015(0)
Two Chief Compliance Officers Fined and Suspended Aegis CEO Fined and Suspended for Failure to Report Liens The Financial Industry Regulatory Authority (FINRA) announced today that it has fined ... Read More
finra1

FINRA Fines Goldman Sachs Execution & Clearing, L.P. $1.8 Million for OATS and Trade Reporting Failures

28/07/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Goldman Sachs Execution & Clearing, L.P. $1.8 million for systemic Order Audit Trail System (OATS) reporting violations ... Read More
barclays-logo-3

Barclays to pay $800,000 fine for U.S. data reporting errors

17/07/2015(0)
Wall Street’s self-funded watchdog fined a unit of Barclays PLC (BARC.L) $800,000 (512,377 pounds) for violations related to how the bank reported stock trades over a more than two-year ... Read More
finra1

FINRA Orders Wells Fargo, Raymond James, and LPL Financial to Pay More Than $30 Million

07/07/2015(0)
FINRA Orders Wells Fargo, Raymond James, and LPL Financial to Pay More Than $30 Million in Restitution to Retirement Accounts and Charities Overcharged for Mutual Funds The Financial Industry ... Read More
onestopbrokers-Regulators

Study: Penalties Levied by Financial Watchdogs Spiked in 2014

02/07/2015(0)
Financial regulators in the United States, United Kingdom, and Hong Kong have decreased their agency expenditures but increased the penalties they’ve levied, according to a new report by regulatory, ... Read More
finra1

FINRA Sends Rebates to Brokers after Record Profits

02/07/2015(0)
While commissions growth has been fairly stagnant over the last few years, Wall Street brokers’ efforts to cut costs have yielded record profits. And now they are getting a ... Read More
finra1

FINRA Fines Morgan Stanley Smith Barney and Scottrade a Total of $950,000

23/06/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley Smith Barney, LLC (Morgan Stanley) $650,000 and Scottrade, Inc. $300,000 for failing to implement reasonable ... Read More
sec-logo

SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies

08/05/2015(0)
The Securities and Exchange Commission today approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) for a two-year pilot program that would widen ... Read More
finra1

FINRA Sanctions LPL Financial LLC $11.7 Million for Widespread Supervisory Failures Related a Number of Key Areas

07/05/2015(0)
FINRA Sanctions LPL Financial LLC $11.7 Million for Widespread Supervisory Failures Related to Complex Products Sales, Trade Surveillance and Trade Confirmations Delivery LPL Ordered to Pay Approximately $1.7 Million ... Read More
finra1

FINRA Orders RBC to Pay Fine

24/04/2015(0)
FINRA has issued a press release to inform that: It has ordered RBC Capital Markets to pay a $1 million fine and approximately $434,000 in restitution to customers for ... Read More
Broker Cyprus TopFX