Lime Brokerage LLC Fined by FINRA
15 August 2019
An AWC was issued in which the firm was censured, fined $625,000, of which $38,500 is payable to FINRA and the remaining will be paid to other various selfregulatory organizations, and is required to provide a written report to FINRA concerning reasonable controls, procedures and other measures taken by it to remediate the violative conduct regarding its supervision of direct market access customer activity with respect to potential manipulative trading by its customers.
