Tag: FINRA

Interactive Brokers fined $125K by FINRA for failing to disclose tax implications of discounted municipal bonds.

$1.6 million fine by FINRA to Webull for supervisory failures and improper social media communications oversight.

Jefferies LLC settles with FINRA, agreeing to a $37,200 fine for supervisory failures related to Regulation M compliance.

tastytrade settles with FINRA, paying a $30,000 fine for failing to supervise outside securities accounts properly.

Interactive Brokers faces a $475K penalty from FINRA for miscalculating share returns in its stock lending program and allowing ...

FINRA fined Interactive Brokers $475K for lapses in its stock lending program, including share miscalculations and unregistered oversight.