A broker-dealer settled FINRA charges for failing to detect potentially suspicious insider trading and for failing to produce discovery in a FINRA arbitration proceeding.
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A broker-dealer settled FINRA charges for failing to sufficiently supervise short-term trade recommendations made by one of its registered representatives.
In separate CFTC, SEC and FINRA actions, a dually registered futures commission merchant and broker-dealer settled charges of AML compliance and suspicious activity report filing failures.
A broker-dealer settled FINRA charges for failing to detect suspicious trading activity, file suspicious activity reports, and implement its own anti-money laundering procedures.
A broker-dealer settled FINRA charges for failing to (i) exercise reasonable diligence to ensure the best market for the execution of customer orders and (ii) conduct transactions in such a market to ascertain that resultant prices were "as favorable as possible under prevailing market conditions."