WebAug 12, 2024 · In June, Finra issued a $5,000 fine and 30-day suspension against ex-UBS broker Ramiro L. Colon III based on allegations that he used WhatsApp to communicate with a client without telling the firm. WebJun 30, 2024 · WASHINGTON—FINRA announced today that it has fined Robinhood Financial LLC $57 million and ordered the firm to pay approximately $12.6 million in restitution, plus interest, to thousands of harmed customers. The sanctions represent the largest financial penalty ever ordered by FINRA and reflect the scope and seriousness of …
Finra Sanctions Two More Brokers Over Texting …
WebIn 2016, FINRA reported $22.5 million in finesfor books and records violations — a 423% increase in fines from $4.3 million in 2015. ... FINRA has fined, suspended and/or banned many advisors from FINRA … WebMay 18, 2016 · Former AML Compliance Officer Fined and Suspended WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Raymond James & Associates, Inc. (RJA) and Raymond James Financial Services, Inc. (RJFS), a total of $17 million for widespread failures related to the firms’ anti-money … chimney cap repair minneapolis
SEC.gov SEC Charges JPMorgan, UBS, and TradeStation for …
WebSep 27, 2024 · Sept. 27, 2024. U.S. securities regulators have imposed close to $2 billion in fines on more than a dozen financial firms, including eight major Wall Street banks, for failing to police employees ... WebNov 10, 2024 · by pinchas November 10, 2024. The Financial Industry Regulatory Authority (FINRA) recently fined a broker for violating his suspension for text messaging … WebThe suspension is in effect from May 3, 2024, through July 2, 2024. (FINRA Case #2024056458301) FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB). Reported for June 2024 graduate hotel in richmond