On November 2, 2021, while associated with Ameriprise, Parker instructed a trader to effect 310 unauthorized transactions in the non-discretionary accounts of 277 customers by tendering the customers’ shares in Company A, a non-traded real estate investment trust, to participate in the company’s modified “Dutch Auction” self-tender offer. Parker did not receive any commissions for these transactions. By this conduct, Parker violated FINRA Rule 2010 and is suspended for 30 days and fined $2,500...

O’Shea refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210. As a result, O’Shea violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...

Between April 2019 and August 2022, Alliance Global violated FINRA Rules 5190 and 2010 in 55 instances by not filing, or filing untimely or inaccurate, notifications with FINRA in connection with its participation in 47 distributions of securities subject to Regulation M under the Securities Exchange Act of 1934. From at least February 2019 through August 2024, Alliance Global failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA Rule 5190.

From September 2021 through March 2023, Standard Chartered violated FINRA Rules 6730(a) and 2010 by failing to timely report to the Trade Reporting and Compliance Engine (TRACE) approximately 700 transactions in TRACE-eligible corporate debt securities. In addition, from at least September 2021 through December 2024, the firm violated FINRA Rules 3110 and 2010 by failing to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with TRACE reporting requirements.