A broker-dealer settled FINRA charges for failing to monitor the fairness of mark-ups that it charged to retail customers through one of its registered representatives.
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A broker-dealer settled FINRA charges for sending trade confirmations to customers that were materially inaccurate.
A broker settled FINRA charges for failing to report timely transactions in the Trade Reporting and Compliance Engine and for related supervisory failures.
A broker-dealer settled FINRA charges for failing to timely report transactions to the Trade Reporting and Compliance Engine.
The SEC Department of Examinations observed deficiencies with respect to compliance programs, conflicts of interest and disclosures in the practices of investment advisers executing principal and cross trades in fixed income securities.