Tag: FINRA Rule 3110
Regal Securities Inc. Censured and Fined
FINRA Sanctions Regal Securities for Supervisory Failures According to the Financial Industry Regulatory Authority (FINRA), the self-...
RBC Capital Markets Pays $300,000 plus Restitution
FINRA Sanctions RBC Capital Markets for Unsuitable Short-term trading According to public documents this week, the Financial Industry...
CFD Investments Complaints and Regulatory Actions
The White Law Group reviews the regulatory history of CFD Investments Inc. CFD Investments, Inc, based in Kokomo, Indiana reportedly has...
FINRA RULE 3110 (SUPERVISION)
What is Failure to Supervise – FINRA Rule 3110? FINRA Rule 3110 (Failure to Supervise) requires a firm to establish and maintain a...
Webull Financial Censured and Fined $3 Million
FINRA Sanctions Webull Financial for Options Trading According to public documents this week, the Financial Industry Regulatory...
LPL Financial Sanctioned for Failure to Supervise
LPL Failed to Recognize Red Flags Related to Rep’s undisclosed business activities According to the Financial Industry Regulatory...
