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CITIGROUP GLOBAL MARKETS INC.

Information

Reporter ID: CGWM
Reporter Type: Broker-Dealer
Current Report URL: https://www.citigroup.com/rcs/citigpa/storage/public/sec-rule-605-disclosure.pdf

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

Includes Repeat Violations Resulting in a Failure to Reasonably Monitor More Than 60,000 Transactions Totaling $10 Billion

WASHINGTON—FINRA has fined UBS Financial Services Inc. (UBS Financial) $20 million for anti-money laundering (AML) violations.

2026090419801 Elias Chris Gerodemos CRD 7510054 AWC vrp.pdf

Gerodemos refused to provide information and documents requested pursuant to FINRA Rule 8210. As a result, Gerodemos violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...

BGC FINANCIAL, L.P.

Information

Reporter ID: BGCE
Reporter Type: Broker-Dealer
Current Report URL: https://disclosure.bestxstats.com/bgcp/606/

Submission History

Submit Date	Report URL	Comments
07-31-2026	https://disclosure.bestxstats.com/bgcp/606/

FORIS CAPITAL US LLC

Information

Reporter ID: FORS
Reporter Type: Broker-Dealer
Current Report URL: https://urldefense.com/v3/__https://public.s3.com/rule605/avnu/__;!!Ifoxw8Usf-Ni!YHiFb9oUf5VwfshRM7DZ-VUAfZYNs0LLClDcbtv_kiLrmT5DiZNWzU48jVsyLEcMh0e3riFfHyWmb_WpHRLFJnS25MnHv13y$

Submission History

Submit Date	Report URL	Comments
07-31-2026	https://urldefense.com/v3/__https://public.s3.com/rule605/avnu/__;!!Ifoxw8Usf-Ni!YHiFb9oUf5VwfshRM7DZ-VUAfZYNs0LLClDcbtv_kiLrmT5DiZNWzU48jVsyLEcMh0e3riFfHyWmb_WpHRLFJnS25MnHv13y$

CITIGROUP GLOBAL MARKETS INC.

Information

Reporter ID: ONEC
Reporter Type: Alternative Trading System
Current Report URL: https://www.citigroup.com/rcs/citigpa/storage/public/sec-rule-605-disclosure.pdf

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	https://www.citigroup.com/rcs/citigpa/storage/public/sec-rule-605-disclosure_202501.pdf
07-31-2026	https://public.s3.com/rule605/onec

NYLIFE SECURITIES LLC

Information

Reporter ID: NYLS
Reporter Type: Broker-Dealer
Current Report URL: https://www.newyorklife.com/securities/regulatory-disclosures

Submission History

Submit Date	Report URL	Comments
07-31-2026	https://www.newyorklife.com/securities/regulatory-disclosures

CASH APP INVESTING LLC

Information

Reporter ID: TPTG
Reporter Type: Broker-Dealer
Current Report URL: https://public.s3.com/rule605/tptg/

Submission History

Submit Date	Report URL	Comments
07-30-2026	https://public.s3.com/rule605/tptg/

Insight

ACTION REQUIRED: ORF Transition to Native FIX – Cutover December 11, 2026