Author: D. Daxton White
FINRA Fines Citigroup Global Markets for Disclosure Failures
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $725,000 for...
Woodbury Financial Services, Inc. fined by FINRA
Woodbury Financial Services, Inc. (CRD #421, Oakdale, Minnesota) recently submitted a Letter of Acceptance, Waiver and Consent in which the...
RBC Capital Markets, LLC fined by FINRA over CMOs.
RBC Capital Markets, LLC (CRD #31194, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...
Radnor Research & Trading Company LLC fined by FINRA
Radnor Research & Trading Company LLC (CRD #130120, Radnor, Pennsylvania) recently submitted a Letter of Acceptance, Waiver and Consent...
Peterson Investments, Inc. fined by FINRA over supervisory system.
Petersen Investments, Inc. (CRD #38537, Wall, New Jersey) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...
Morgan Stanley fined by FINRA over structured products.
Morgan Stanley & Co. LLC (CRD #8209, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the...