Tastytrade Fined $30,000 by FINRA for Supervisory Compliance Failures
Key Insights Tastytrade was fined $30,000 and censured by FINRA for failing to establish and maintain proper supervisory procedures for…
FINRA Fines Morgan Stanley $400,000 for Trade Confirmation Lapses
Key Insights Morgan Stanley fined $400,000 by FINRA for trade confirmation disclosure violations from 2018 to 2022. The firm failed…
FINRA Fines RBC Capital Markets $75,000 for Rights of Reinstatement Failures
Key Insights RBC Capital Markets agrees to pay a $75,000 fine to FINRA for inadequacies in its rights of reinstatement…
FINRA Fines Goldman Over Inadequate Surveillance Reports
Key Insights FINRA fines Goldman Sachs over $500,000 for inadequate trading surveillance from 2009-2023 Goldman failed to include millions of…
FINRA Fines UBS $100k Over Transaction Reporting Failures
Key Insights UBS pays $100k fine for lacking municipal trade fee transparency from 2016-2021 Failed to properly flag 91k no-commission…