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The firm violated MSRB Rules G-15 on confirmation, G-8 on books and records and G-27 on supervision, FINRA found.
April 30 -
According to FINRA, the mispricing resulted in customer harm amounting to $44,927.83, on top of the $90,000 fine.
March 8 -
According to FINRA, the banking giant failed to close out 239 inter-dealer transactions in a timely manner as well as failing to take possession of 247 short positions.
February 16 -
The veteran-owned Academy Securities failed to file Form G-37 reports in a timely manner, and failed to disclose another 60 municipal underwritings where the firm acted in a managerial capacity.
January 30 -
The regulator has charged a former chief compliance officer $15,000 and a firm $100,000 in twp separate enforcement actions.
January 22 -
Without admitting or denying the findings, David Elgart of Sequoia Investments has agreed to a $20,000 fine and an 18-month suspension from association with any FINRA member firm for acting as an unregistered dealer.
January 5 -
New York-based Odeon Capital failed to report approximately 225 municipal securities transactions to RTRS over a two and a half year period.
October 23 -
The Federal Reserve took action against a small bank in southern Illinois whose exposures to interest rate changes left it with negative equity last year. The enforcement action comes as regulators review their oversight practices following Silicon Valley Bank's failure.
May 5 -
The disclosure from the Hampton County School District in Varnville, South Carolina provided no details on the status of the bonds, but the form itself indicates there is an audit underway.
July 11 -
FINRA found that Michael Mancinelli improperly exercised discretion and caused his firm to have inaccurate books and records.
February 8