Wall Street's independent regulator fined Deutsche Bank Securities Inc. $3.25 million Friday for failing to provide the same information to all users of its off-exchange trading system.
Entries in FINRA (14)
The Financial Industry Regulatory Authority said Monday it fined Credit Suisse Securities (USA) LLC $16.5 million for anti-money laundering and supervision violations.
The Financial Industry Regulatory Authority (FINRA) Monday fined Deutsche Bank Securities Inc. $12.5 million for sending out internal alerts that might contain confidential information traders and their customers could use.
Deutsche Bank Securities Inc. paid a $6 million fine for failing to provide complete and accurate trade data to FINRA and the SEC. It was the biggest fine the Wall Street regulator has imposed for so-called blue sheet violations.
The Financial Industry Regulatory Authority (FINRA) Wednesday fined Oppenheimer & Co. Inc. $2.25 million and ordered the firm to pay restitution of more than $716,000 to some retail customers for selling them unsuitable high-risk investments.
The Financial Industry Regulatory Authority (FINRA) fined a former AML compliance officer and suspended her for failing to conduct required due diligence and periodic risk reviews of foreign financial institutions.
The U.S. Treasury Department's Financial Crimes Enforcement Network (FinCEN) assessed a $20 million civil penalty against Oppenheimer & Co., Inc. for "willfully violating" the Bank Secrecy Act.
A federal district court ruled in May that whistleblowers don't have to report to the SEC to receive protection against retaliation by their employers.
The U.S. Treasury Department has notified a former compliance chief at MoneyGram International Inc. that he may face a fine of up to $5 million over the money-transfer company's previously admitted failures to monitor transactions properly for illicit activity.
The Financial Industry Regulatory Authority (FINRA) said Wednesday it has fined Banorte-Ixe Securities International, Ltd. $475,00 for not having adequate anti-money laundering procedures in place.