FINRA
JPMorgan Securities hit with fine over disclosure lapses
The US Financial Industry Regulatory Authority (FINRA) has censured and imposed a monetary penalty of $1.1m on JPMorgan Securities (JPMS)…
FINRA in US completes integration of enforcement functions
US-based self regulatory organisation FINRA has announced the Department of Enforcement’s new structure to complete the final phase of the…
ICBC fined by US regulators for suspicious penny stock transactions
Industrial and Commercial Bank of China Financial Services (ICBCFS), the US subsidiary of Industrial and Commercial Bank of China, has…
Citigroup Global Markets fined $11.5m for displaying inaccurate research ratings
Citigroup Global Markets has been fined a total of $11.5m by the Financial Industry Regulatory Authority (FINRA) for displaying inaccurate…
JPMorgan fined $2.8m for customer protection rule violations
J.P. Morgan Securities has been fined $2.8m by the Financial Industry Regulatory Authority (FINRA) for flouting the Securities and Exchange…
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Morgan Stanley to pay $13m in fines and restitution for supervisory failures
Morgan Stanley Smith Barney has been ordered to pay around $13m by the Financial Industry Regulatory Authority (FINRA) for failing…
Goldman Sachs fined $2.5m for incomplete options reporting
Goldman Sachs has agreed to pay $2.5m in penalty to the Financial Industry Regulatory Authority (FINRA) to settle allegations of…