Skip to Primary Navigation

FINRA disciplinary action update #38

Montage of person walking by the FINRA sign.
GRIP Montage: Getty Images

Disciplinary decisions issued November 10 – 16, 2023.

Puma Capital censured and fined for alleged compliance failures in connection with trade-throughs

The firm relied on its order management system to route ISOs but, despite having been previously warned by FINRA, “had no policy or process to determine whether the ISOs it routed were received and executed as intended”