FINRA Fines J.P. Morgan Securities $140,000
F
ESMA Fines Regis-TR €1.37 mln
E
CySEC Fines Trident Trust Company €70,000
C
FCA Fines 2 People for Insider Trading in Bidstack Shares
F
Saxo Bank Fined $50 million for AML Violations
S
FINRA Fines Wells Fargo Clearing Services $1.25 million
F
Chris Marco Sentenced to 14 Years for $34M Investment Fraud
C
FINRA fines Independent Financial Group $100k
F
CME Group Fines JPMorgan Securities for Rule Violations
C
FINRA Fines Alexander Investment Services for Alleged Violations
F