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Displaying 2 out of 2 results for "Non-Traded BDCs".

FINRA Enforcement Actions: Month in Review

MAY 2014 SELECTED FINRA ENFORCEMENT ACTIONS

FIRMS FINED

ABN AMRO Clearing Chicago LLC (CRD #14020, Chicago, Illinois)

ABN AMRO Clearing Chicago LLC consented to a censure and $95,000 fine for allegedly failing "to report short interest positions to the New York Stock Exchange and FINRA on certain settlement dates, and submitt[ing] to FINRA an inaccurate short-interest position report." FINRA found that the firm's supervisory system did not provide for supervision reasonably designed to achieve...

FINRA Enforcement Actions: Month in Review

APRIL 2014 SELECTED FINRA ENFORCEMENT ACTIONS

FIRMS FINED

The Huntington Investment Company (CRD #16986, Columbus, Ohio)

The Huntington Investment Company consented to a $25,000 fine and censure. The firm consented to an entry of "findings that it failed to provide notice to the MSRB via the Electronic Municipal Market Access System (EMMA) that no preliminary official statements or official statements were to be prepared for bond anticipation note offerings in which the firm participated."...

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