WebOct 3, 2024 · Excessive Trading. FINRA fined Joseph Stone Capital LLC and several of its representatives more than $1 million for excessive trading in 25 customer accounts. FINRA also suspended 13 current and ... WebDec 9, 2024 · FINRA Case #2024058595601: Where a firm was censured and fined $250,000 as a result of a broker-agent engaging in unsuitable and excessive equity and options trading and used margin in senior customers' accounts. The proposed monetary sanction for unsuitability violations range from $2,500 - $116,000.
CAT Customer & Account Information System (CAIS)
WebConsolidated Audit Trail, LLC and FINRA CAT, LLC will host an Industry Testing Checkpoint Call for CAIS on Wednesday, May 3, 2024 at 4:15 pm ET. Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. ... Meeting Password: 434179 ... WebFINRA: Login Welcome to FINRA Dispute Resolution Services User ID Password View Password By clicking "Accept and continue" I certify that I have read, understood, and accepted the Privacy Policy and the FINRA Entitlement Program Terms of Use. ACCEPT AND CONTINUE Forgot User ID or Password? rc stunts
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Webn-Tier adds ConvergEx Group to its growing list of clients. n-Tier releases Compliance Workbench enabling Compliance Professionals to achieve a best-in-class standard in complying with FINRA Blue Sheet Reporting requirements and with the Large Trader Reporting Rule. n-Tier releases AccessPoint for iPad. Weboverall snapshot of order linkages in the CAT.11 FINRA proposed that there be at least a 95% pre-correction and 98% post-correction rate for order linkages that are required in Phase 2a. FINRA has determined that during the applicable period there was a 99.66% pre-correction and 99.93% ... WebPassword View Password By clicking "Accept and continue" I certify that I have read, understood, and accepted the Privacy Policy and the FINRA Entitlement Program Terms … sims s s p leo turtleneck