FINRA Bars Former LPL Financial Rep for Misappropriating $1.7M
FINRA has barred Rudy Anguiano of Chino Hills, California, a former registered representative of LPL...
FannyFIRNA
FINRA Fines Vanguard Marketing Corporation $950,000 for Cost Basis Reporting Errors
Vanguard Marketing Corporation (VMC) has agreed to pay a $950,000 fine as part of a settlement with ...
Fanny
Singapore AI fraud detection test uses cross-bank data to flag scam accounts
Singapore AI fraud detection is being tested across banks by the Monetary Authority of Singapore (MA...
David
FINRA Fines Colorado Financial Service Corporation $45,000 for Supervisory Failures
Colorado Financial Service Corporation has agreed to pay a $45,000 fine as part of a settlement with...
David
FINRA Fines J.P. Morgan Securities $250K for Margin Disclosure Failures
J.P. Morgan Securities LLC (JPMS) has agreed to pay a $250,000 fine as part of a settlement with the...
Fanny
FINRA imposes $275k fine on RBC Capital Markets
RBC Capital Markets, LLC has agreed to pay a $275,000 fine to settle charges by the Financial Indust...
David
FINRA fines World Choice Securities, general securities rep
The Financial Industry Regulatory Authority (FINRA) has settled with World Choice Securities, Inc (W...
Fanny
Dubai Brokers’ Rapid Growth Outpaces Staff Trading Compliance
The Dubai Financial Services Authority (DFSA) has flagged that many brokerage firms in the Dubai Int...
David
FINRA imposes $175k fine on Merrill Lynch
Merrill Lynch, Pierce, Fenner & Smith Incorporated has agreed to pay a $175,000 fine and accept a ce...
David
FINRA Censures and Fines Alliance Global Partners Over Regulatory Filing Failures
U.S. self-regulatory body the Financial Industry Regulatory Authority (FINRA) has censured and fined...
Youmans
