FINRA Settles with Interactive Brokers Over $475,000 Fine

FINRA Settles With Interactive Brokers Over $475,000 Fine

2 weeks from now

Interactive Brokers LLC has agreed to pay a $475,000 fine as part of a settlement with the Financial Industry Regulatory Authority (FINRA).

sharesbrokersreviews.com

FINRA Issues US$475,000 Fine To Interactive Brokers

2 weeks from now

Oct 24, 2024  · The Financial Industry Regulatory Authority (FINRA) has fined Interactive Brokers US$475,000 and issued a censure following lapses in the firm’s securities lending programme.

securitiesfinancetimes.com

US FINRA Fines Interactive Brokers $475k For Seclending Violations

2 weeks from now

Oct 24, 2024  · The US' Financial Industry Regulatory Authority (FINRA) has fined Interactive Brokers $475,000 for securities lending-related violations. Between June and December 2021, …

finadium.com

Interactive Brokers Settles Nasdaq Charges, Agrees To $475,000 Fine

2 weeks from now

Publicly traded on the Nasdaq, the online brokerage firm Interactive Brokers has agreed to pay a $475K fine to settle charges brought by the exchange.

financemagnates.com

Interactive Brokers $475,000 Fine Over Supervisory Failures.

2 weeks from now

The firm has reportedly taken steps to compensate affected customers. Interactive Brokers has faced fines and penalties from regulatory authorities in recent years. In 2018, it was fined $5.5 …

sharesbrokersreviews.com

Interactive Brokers Fined $2.2M For ‘Free-Riding' Trades, Finra Says

2 weeks from now

Jan 2, 2025  · Online trading platform Interactive Brokers has been fined $2.25 million for allegedly failing to detect 4.2 million instances where accounts purchased and sold securities before …

fa-mag.com

'This LPL Case Is A Grab Bag,' Says Industry Attorney

2 weeks from now

Jan 2, 2024  · Earlier, on Dec. 22, Finra and Interactive Brokers, which specializes in equities and options trading, agreed to a $3.5 million fine for failing to comply on best execution and …

investmentnews.com

Interactive Brokers Ends 2024 With A $2.25 Million Fine From FINRA

2 weeks from now

Jan 3, 2025  · Interactive Brokers, LLC, a major online brokerage, has agreed to a $2.25 million fine following an investigation by the Financial Industry Regulatory Authority (FINRA). The …

financefeeds.com

FINRA Fines Interactive Brokers $2.25m For Supervisory Failures

2 weeks from now

Dec 31, 2024  · This week, the Financial Industry Regulatory Authority (FINRA) revealed it has fined Interactive Brokers LLC $2.25 million for failing to detect and prevent widespread “free …

leaprate.com

2018 Division Of Insurance Enforcement Activity - The Official Web …

2 weeks from now

Sanction: Fine - $10,000. Respondent was convicted of mortgage fraud for willfully aiding a mortgage fraud scheme. Sanction: Revocation, Fine - $1,500. Respondent sold an insurance …

nj.gov