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FINRA Fines Firms $2.6M For Poor Securities Lending Oversight

SoFi Securities, SogoTrade, M1 Finance and Open to the Public Investing will pay more than $2.6m to settle FINRA charges. ....

Sofi Securities , Public Investing , Sofi Financial , Master Securities Lending Agreement ,

FINRA Orders Four Firms to Pay $2.6 Million for Violations Relating to Fully Paid Securities Lending

FINRA Orders Four Firms to Pay $2.6 Million for Violations Relating to Fully Paid Securities Lending
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Sogotrade Inc , Sofi Securities , Public Investing Inc , Includes Over , Public Investing , Executive Vice President , Disciplinary Actions Online , Monthly Disciplinary Actions , Municipal Securities Rulemaking ,