January 03, 2020
Commentary by Steven Lofchie
A broker-dealer settled FINRA charges for inaccurately reporting over 1 billion reportable order events to the Order Audit Trail System.
Commentary by Steven Lofchie
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Commentary by Steven Lofchie
April 20, 2020
A broker-dealer settled FINRA charges for Order Audit Trail System reporting violations.
October 11, 2022
A broker-dealer settled FINRA charges for failing to comply with best execution obligations by routing customer orders through a preferred ATS without considering alternate routing arrangements.
November 22, 2022
A broker-dealer settled FINRA charges for inaccurately reporting information pertaining to the routing of non-directed orders in national market system securities.
March 02, 2020
A broker-dealer settled FINRA charges for Order Audit Trail System reporting violations.