Tag: FINRA

Home » FINRA
7 months ago 0 759
FINRA Fine Imposed on T3 Trading Group for failing to publish reports and maintain effective supervisory compliance systems.
1 year ago 0 797
Merrill Lynch, Pierce, Fenner & Smith Incorporated has reached a settlement with the Financial Industry Regulatory Authority (FINRA).
2 years ago 0 784
SpeedTrader settles with FINRA, agreeing to a $165,000 fine for supervisory and risk management deficiencies.
2 years ago 0 526
FINRA fined TradeZero America $250,000 for privacy notice inaccuracies, addressing regulatory compliance and customer data protection.
2 years ago 0 338
H2C Securities incurred a $250K fine from FINRA for regulatory violations, underscoring compliance challenges in the financial industry.

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