Tag: securities
Institutional Capital Management, Inc. fined by FINRA
Institutional Capital Management, Inc., a FINRA registered broker-dealer based in Houston, Texas, recently submitted a Letter of...
FINRA Fines Santander Securities $2 Million for Deficiencies
The Financial Industry Regulatory Authority (FINRA) announced that it has fined Santander Securities of Puerto Rico $2 million for...
FINRA fines UBS over Lehman Brothers Principal Protected Notes
The Financial Industry Regulatory Authority (FINRA) announced that it has fined UBS Financial Services, Inc., $2.5 million, and required...
NFP Securities, Inc. fined by FINRA over annuity business
NFP Securities, Inc. (CRD #42046, Austin, Texas) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was...
Morgan Stanley & Co. Incorporated fined by FINRA
Morgan Stanley & Co. Incorporated (CRD #8209, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in...
