五名经纪人因涉嫌虚假陈述佣金而被法国罚款的经纪交易商作为客户的费用

金融行业监管局已针对经纪交易商Pointe Capital，Inc。发出罚款John Thomas Financial，，，，First Midwest Securities, Inc., A&F Financial Securities, Inc., and Salomon Whitney LLC for allegedly mischaracterizing part of their commission charges to clients and calling them service handling fees, This caused the amount of total commissions that clients were charged to be understated. As a result, the fees for handling-related services ended up costing clients more.

FINRA表示，贸易委员会和费用时间表应明确反映出实际的佣金指控，不应伪装。

在FINRA颁布的制裁中：

•针对Salomon Whitney LLC的60,000美元罚款。FINRA指控该金融公司被指控向客户收取最高69.95美元/贸易加委员会的服务费。FINRA辩称，Salomon Whitney没有告诉其康涅狄格州客户，交易处理费的一部分是对金融公司的利润，费用不是由交付特定交易的成本确定的，并且某些客户被罚款较低的费用。Finra认为，鲑鱼惠特尼收取的处理费是不合理的。通过同意解决，金融公司并不否认或承认这些发现。

• First Midwest Securities, Inc. was fined $150,000. The financial firm is accused of charging clients up to $99.75/trade plus commission. FINRA says that this “handling fee” was in fact a commission and not reasonably connected to any direct handling services conducted by First Midwest Securities. The SRO notes that some customers even paid handling fees that were double of what other First Midwest Clients paid. FINRA also says that First Midwest Securities committed other violations, including having inadequately written supervisory procedures and “unfair and unreasonable” markdowns and markups. The financial firm has settled the securities case but is not admitting to or denying FINRA’s allegations.

• FINRA charged A&F Financial Securities, Inc. a $125,000 fine for charging clients an up to $65/trade handling fee, as well as commission. FINRA says that A & F acted inaccurately and improperly. FINRA also accused the financial firm of failing to comply with continuing education requirements, having inadequate supervisory system and procedures, and not properly assessing its training needs or developing and executing a written training plan. A & F also admitted to the findings without denying or admitting to them.

•FINRA以最高75美元的/贸易处理费加佣金罚款约翰·托马斯（John Thomas Financial）罚款275,000美元。SRO还指控其他违法行为，包括与投诉报告，监督控制和证书以及分支机构办公室监督和记录保存有关的缺陷。FINRA说，经纪交易商对其业务进行了关键变更，而无需获得批准。约翰·托马斯（John Thomas Financial）同意定居，但没有否认/承认这些发现。

•Pointe Capital，Inc。因收取高达95美元//贸易处理费和佣金的费用而被罚款300,00美元。FINRA认为，将“处理”指控视为与实际与处理相关的服务/费用没有合理的联系，实际上，客户被指控另一个委员会。Pointe Capital解决了此案。

FINRAFines Five Broker Dealers for Improper Handling Fees，FINRA，2011年9月7日

更多博客文章：
FINRA告诉国会，它已经准备好担任投资顾问的SRO，，，，Stockbroker Fraud Blog, September 13, 2011
金融业监管机构警告投资者黄金股票骗局，，，，Stockbroker Fraud Blog, August 25, 2011
FINRA小组命令Wedbush向Trader支付350万美元，以保留赔偿，股票经纪欺诈博客，2011年7月16日
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