Topic: FINRA
23 results were found.
FINRA fines M1 Finance $850,000 for violations regarding use of social media influencer program - March 19, 2024
FINRA fines Morgan Stanley $1.6 million for municipal securities violations and related failures - February 16, 2024
FINRA orders M1 Finance, Open to the Public Investing, SoFi Securities, and SogoTrade to pay $2.6 million - December 8, 2023
FINRA fines BofA Securities $24 million for treasuries spoofing and related supervisory failures - December 4, 2023
FINRA fines UBS Securities $2.5 million for regulation SHO violations and supervisory failures - October 5, 2022
FINRA fines BofA Securities $5 million for Large Options Position reporting failures - September 13, 2022
FINRA orders Merrill Lynch, Pierce, Fenner & Smith to pay $15.2 million in restitution - June 3, 2022
FINRA fines Deutsche Bank Securities $2 million for best execution violations - March 9, 2022
FINRA fines Credit Suisse Securities $9 million for multiple operational failures - January 21, 2022
FINRA sanctions Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network - September 4, 2020
FINRA orders Merrill Lynch, Pierce, Fenner and Smith to pay $7.2 million in restitution - June 5, 2020
FINRA Orders Merrill Lynch to pay more than $12 million in restitution - November 8, 2019
FINRA fines BNP Paribas Securities and BNP Paribas Prime Brokerage $15 million - October 26, 2019
FINRA fines Citigroup Global Markets Inc. $1.25 million - July 30, 2019
FINRA sanctions Merrill Lynch $6 million for selling IPOs to insiders - December 21, 2018
FINRA bars former Morgan Stanley representative, $190 million concealed - June 5, 2017
FINRA fines Credit Suisse Securities USA $16.5 million - December 6, 2016
FINRA fines Merrill Lynch over systemic supervisory violations - October 19, 2016
FINRA fines Deutsche Bank Securities $12.5 million - August 8, 2016
FINRA fines Deutsche Bank Securities $6 million for late filings - June 30, 2016
FINRA fines Oppenheimer & Co. $2.9 million over non-traditional ETFs - June 8, 2016
FINRA fines Raymond James $17m over anti-money laundering rules - May 18, 2016
FINRA sanctions Barclays Capital $13.75 million - December 30, 2015