SoFi Securities Faces FINRA Fines: $2.6M for Securities Lending Violations
SoFi Securities Faces FINRA Fines, along with three other broker-dealer firms, has recently incurred penalties totaling $2.6 million...
Tag: Securities Lending Violations
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Open to the Public Investing Faces Sanctions: FINRA Imposes $2.6M Penalty for Securities Lending Violations
Open to the Public Investing Faces Sanctions along with three other broker-dealer firms, has been fined a total of $2.6 million by F...
FINRA Fines Four Firms $2.6M for Securities Lending Violations
FINRA Fines Four Firms —M1 Finance LLC, Open to the Public Investing, Inc., SoFi Securities LLC, and SogoTrade, Inc. The total penal...