Category: FINRA Enforcement Proceedings

Enforcement News: Interactive Brokers LLC Agrees to Settle Charges It Failed To File Suspicious Activity Reports for U.S. Microcap Securities Trades

Aug 12 2020

On August 10, 2020, the Securities and Exchange Commission (“SEC” or the “Commission”) announced (here) that Interactive Brokers LLC (“Interactive Brokers”) agreed to pay $11.5 million to settle charges it …

Dec 4 2017

J.P. Morgan Securities, LLC (“J.P. Morgan”) was recently fined $1.25 million by the Financial Industry Regulatory Authority (“FINRA”) for how the securities firm handled criminal background checks. In particular, J.P. Morgan …

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Category: FINRA Enforcement Proceedings

Enforcement News: Interactive Brokers LLC Agrees to Settle Charges It Failed To File Suspicious Activity Reports for U.S. Microcap Securities Trades

FINRA Fines J.P. Morgan Securities $1.25 Million