FINRA Fines - 2017 Summary

*The data collected is from January - November 2017.

We have tracked the monthly and quarterly disciplinary actions taken by FINRA against member firms in 2017 and present to you 6 takeaways we have identified by delving into the numbers behind the released enforcement actions.

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FINRA Fines in 2016 - 7 Key Facts

*Updated Jan 2017

We delved into the official disciplinary actions released from FINRA for 2016 and have been keeping a score sheet of all the fines by month. Now we present to you 7 facts from this long list of fines.

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FINRA Fines Barclays Capital Inc. $1.3 Million

Financial Industry Regulatory Authority (FINRA) has fined Barclays Capital Inc. $1.3 million for systemic Order Audit Trail System (OATS) reporting violations and related supervisory failures.

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Raymond James agrees to pay FINRA $17 Million in Fines

The Financial Industry Regulatory Authority (FINRA) has fined Florida-based Raymond James & Associates, Inc. (RJA) $8 million and Raymond James Financial Services, Inc. (RJFS) $9 million for failures in anti-money laundering (AML) compliance. According to the regulator, the fines are a result of an investigation which revealed that for several years, RJA and RJFS were unable to deliver a sufficiently robust AML compliance program.

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