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FINRA suspends former Spartan Capital rep for excessive trading
The Financial Industry Regulatory Authority (FINRA) has suspended Murat Kartal, a former general securities representative of Spartan Capital Securities, for 10 months. Kartal is suspended
FINRA expels Monmouth Capital Management
The Financial Industry Regulatory Authority (FINRA) announced today that it has expelled Monmouth Capital Management for churning and excessively trading customer accounts in violation of
FINRA imposes $2.5M fine on Barclays Capital for inaccurate reporting of OTC options positions
Barclays Capital Inc has agreed to pay a $2.5 million fine as a part of a settlement with the Financial Industry Regulatory Authority (FINRA). The
Sterling Trading Tech to help firms comply with FINRA portfolio margin reporting requirements
Sterling Trading Tech (STT), a leading provider of order management systems, risk and margin solutions and trading platforms to the capital markets worldwide, today announced
Goldman Sachs fined $3 million by FINRA over mismarking short sale orders By Reuters
© Reuters. FILE PHOTO: The logo for Goldman Sachs is seen on the trading floor at the New York Stock Exchange (NYSE) in New York
Goldman Sachs to pay $3 million to FINRA, major exchanges for alleged rule violations
The Financial Industry Regulatory Authority (FINRA) has announced the acceptance of an offer of settlement submitted by Goldman Sachs & Co. LLC. Goldman Sachs consents to
FINRA warns of ongoing phishing campaign
The Financial Industry Regulatory Authority (FINRA) has issued a warning to member firms regarding an ongoing phishing campaign that involves fraudulent emails purporting to be