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FINRA
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FINRA disciplinary action update 2024/37
Disciplinary decisions issued September 21 – 27, 2024.
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TD Securities charged with spoofing scheme, failing to supervise head of US Treasuries desk
The allegations revolve around hundreds of episodes of unlawful trading in the secondary (cash) market for US Treasuries.
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FINRA disciplinary action update 2024/36
Disciplinary decisions issued September 14 – 20, 2024.
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FINRA disciplinary action update 2024/35
Disciplinary decisions issued September 7 – 13, 2024.
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FINRA disciplinary action update 2024/34
Disciplinary decisions issued August 24 – 30, 2024.
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FINRA disciplinary action update 2024/33
Disciplinary decisions issued August 17 – 23, 2024.
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FINRA settles with Barclays Capital over fingerprinting, screening issues
FINRA alleges the firm did not fingerprint and properly screen non-registered associated persons based in foreign locations as required by its rules.
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FINRA disciplinary action update 2024/32
Disciplinary decisions issued August 10 – 16, 2024.