Tag: FINRA

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4 months ago 0 606

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

5 months ago 0 378

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

6 months ago 0 415

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

6 months ago 0 385

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

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