A broker-dealer and one of its owners settled FINRA charges for failure to maintain the required minimum net capital while conducting securities business.

A formerly registered broker-dealer settled FINRA charges for failing to supervise the suitability of sales of variable annuities to customers.

FINRA provided guidance for members handling bank deposits, withdrawals and account balances held at Silicon Valley Bank, N.A. and Signature Bank, N.A.

A broker-dealer settled FINRA charges for conducting a securities business while failing to maintain the required minimum net capital and failing to file timely notices of net capital deficiency with the SEC and FINRA.

A broker-dealer settled FINRA charges for conducting a securities business while failing to maintain the required minimum net capital and failing to timely file notices of net capital deficiency with the SEC and FINRA.