US FINRA fines Interactive Brokers $475k for seclending violations

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

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

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

2 weeks from now

Additionally, FINRA imposed a financial penalty of $25,000 on Arnold J. Feist, a former AML Compliance Officer (AMLCO) of Interactive Brokers, for severe lapses in performing his duties. …

financemagnates.com

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) following several regulatory violations related …

sharesbrokersreviews.com

FINRA Fines Broker Over Securities Lending Algorithm Issues

2 weeks from now

Law360 (October 24, 2024, 7:07 PM EDT) -- Interactive Brokers LLC has agreed to a $475,000 fine from the Financial Industry Regulatory Authority to resolve alleged issues with its …

law360.com

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

2 weeks from now

Jan 2, 2025  · Such trading violates Exchange Act Regulation T and two Finra rules, the regulator said. The fine was part of a settlement between the firm and Finra. An Interactive Brokers …

fa-mag.com

Interactive Brokers Hit With $475K Penalty For Stock Lending Errors

2 weeks from now

Interactive Brokers faces a $475K penalty from FINRA for miscalculating share returns in its stock lending program and allowing unregistered oversight.. Key Points: Interactive Brokers faced a …

stockbrokerstalk.com

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

2 weeks from now

Apr 29, 2024  · In the same year, NYSE Arca, an electronic US trading exchange, fined Interactive Brokers $237,500 for alleged violations in trade reporting. Additionally, FINRA imposed a …

tradingview.com

FINRA Imposes $475k Fine On Interactive Brokers

2 weeks from now

Oct 23, 2024  · Interactive Brokers LLC has agreed to pay a fine of $475,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA). Between June and …

fxnews.online

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

Interactive Brokers Settles With FINRA Over "4.2 Million Free-Riding …

2 weeks from now

Dec 30, 2024  · Earlier, FINRA imposed a $30,000 fine on tastytrade, ... Interactive Brokers Settles with $2.25 Million Fine. Interactive Brokers agreed to a censure and a $2.25 million fine. The …

financemagnates.com

Former Bergen County NJ Investment Adviser Pleads Guilty To …

2 weeks from now

Nov 20, 2024  · The investment adviser fraud charge carries a maximum sentence of five years in prison and either a $10,000 fine or twice the gross gain or loss from the offense. Welsh is …

northjersey.com

2017 Division Of Insurance Enforcement Activity - The Official Web …

2 weeks from now

Sanction: Revocation, Fine - $5,000. Heon Kim, New York, NY Order #E17-120, December 21, 2017 Respondent signed an application as the soliciting producer when the application was …

nj.gov