Tag: Settles with FINRA

Home » Settles with FINRA
1 year ago 0 1006
TP ICAP settles with FINRA, agreeing to pay an $80,000 fine for failing to maintain adequate supervisory systems.
1 year ago 0 824
Jefferies settles with FINRA, agreeing to pay a $37,200 fine over supervisory failures related to Regulation M compliance.
1 year ago 0 679
Tastytrade settles with FINRA, agreeing to a $30,000 fine over supervisory failures related to employee securities accounts.

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