FINRA

3 articles

Forex news and analysis tagged “FINRA” on BestForex.io.

newsJuly 13, 2026
Record $80 Million: FinCEN's Largest-Ever Broker-Dealer BSA Penalty Lands on Canaccord Genuity for AML Failures
FinCEN, the SEC, and FINRA simultaneously resolved action against Canaccord Genuity LLC — totalling $120 million — for willful Bank Secrecy Act violations spanning six years. At least 160 suspicious activity reports were never filed.
Edmund Hartwell8 min read#Canaccord Genuity #FinCEN #Bank Secrecy Act
newsJuly 12, 2026
$300 Million in Low-Priced Trades, Zero Suspicious Activity Reports: FINRA Fines Pictet Overseas $610,000
FINRA fined Pictet Overseas $610,000 for AML failures that persisted for three and a half years after a regulator had already flagged the exact same deficiencies. A four-year warning. Never acted on.
Edmund Hartwell7 min read#Pictet Overseas #AML #Low-Priced Securities
newsJuly 3, 2026
Blue Ocean ATS: Nobody Was Watching
One employee. 5.5 billion shares. No spoofing or layering surveillance at all. FINRA fined the dominant overnight trading platform $550,000 — but the real number to watch is not the fine.
Edmund Hartwell7 min read#Blue Ocean ATS #AML #Overnight Trading

Record $80 Million: FinCEN's Largest-Ever Broker-Dealer BSA Penalty Lands on Canaccord Genuity for AML Failures