Tag: Finra

FINRA penalizes Folio Investments for long-term failures in execution-quality reviews and supervisory controls tied to its order-routing practices.

FINRA penalizes Cetera firms for deficient supervision, AML controls, and consolidated report preservation, imposing a $1.1 million fine.

FINRA fined Mundial Financial Group for unregistered principal activity and serious AML and customer identification failures violations.

FINRA censured Navaid after discovering more than twelve thousand municipal transactions missing required compensation indicators over six years.