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NFS failed to follow underwriter instructions; Corecap failed to report transactions.
August 11 -
Muni market participants will have more time to prepare for customer account transfer changes.
July 28 -
UBS' fine follows prior SEC action against the firm for minimum denomination violations.
July 17 -
Four firms paid a combined $102,500 to settle FINRA charges related to violations of MSRB gift and reporting rules.
June 15 -
Fidelity Brokerage Services and Frazier Lanier are to pay $80K to settle FINRA muni charges.
May 26 -
RBC Capital markets, along with Wedbush Securities and an individual reached settlements totaling $70,000 with FINRA.
May 12 -
J.W. Korth is appealing a FINRA panel finding that it charged customers excessive markups.
April 20 -
FINRA expanded its sanctions guidelines and suggested several penalties be more severe.
April 10 -
Awards and settlements are piling up even as the U.S. wealth management unit reports record profits.
April 5