Tag: investment fraud
Safra Securities LLC fined by FINRA
Safra Securities LLC (CRD #47873, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was...
J.P. Morgan Clearing Corp. fined by FINRA
J.P. Morgan Clearing Corp. (CRD #28432, Brooklyn, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the...
Thomas Weisel Partners, LLC fined by FINRA
Thomas Weisel Partners, LLC (CRD #46237, San Francisco, California) was fined $200,000. The sanction was based on findings that the firm...
Securities America, Inc. fined by FINRA
Securities America, Inc. (CRD #10205, La Vista, Nebraska) submitted a Letter of Acceptance, Waiver and Consent in which the firm was...
