FINRA.org will undergo scheduled maintenance Sunday, Nov. 1, from 8 p.m. to Monday, Nov. 2, 4 a.m. ET, with a brief five-minute outage during this window.
CHARLES SCHWAB & CO., INC.
Information
- Reporter ID
- CHAS
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://schwab.com/legal/sec-605
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-31-2026 | https://schwab.com/legal/sec-605 |
GFI SECURITIES LLC
Information
- Reporter ID
- GFIS
- Reporter Type
- Broker-Dealer
- Current Report URL
- http://disclosures.bxstech.com/gfis/606/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-31-2026 | http://disclosures.bxstech.com/gfis/606/ |
CITIGROUP GLOBAL MARKETS INC.
Information
- Reporter ID
- CGWM
- Reporter Type
- Broker-Dealer
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 09-04-2026 | https://www.citigroup.com/rcs/citigpa/storage/public/sec-rule-605-disclosure.pdf | |
| 07-31-2026 | http://www.citigroup.com/rcs/citigpa/storage/public/sec-rule-605-disclosure_202501.pdf |
PARK AVENUE SECURITIES LLC
Information
- Reporter ID
- PAWM
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://nms605.karngroup.com/2b78d32c5545465451773d3d
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-31-2026 | https://nms605.karngroup.com/2b78d32c5545465451773d3d |
FINRA Fines UBS Financial $20 Million for Anti-Money Laundering Violations
WASHINGTON—FINRA has fined UBS Financial Services Inc. (UBS Financial) $20 million for anti-money laundering (AML) violations.