Web: Our Financial Oligarchy; Emperors of a Brave New World

Web

Our Financial Oligarchy; Emperors of a Brave New World

They own the regulators; they own the brokerage houses; they own the clearing houses; they own all of your investments; and it’s even been shown that they can exert complete control over the government.

To understand how these banks exert complete control over our financial system, one must first understand the securities clearance system.

In the United States of America, there is only one central clearinghouse: The Depository Trust and Clearing Corporation, and for almost 50 years they have maintained a virtual monopoly over this essential service.

It is a private corporation that is owned by these mega-banks and brokers.

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PDF (470 Pages): Our Financial Oligarchy Back-Up

Fined: BNP Paribas Securities Corp. Fined by FINRA

Fined

BNP Paribas Securities Corp. Fined by FINRA

An AWC was issued in which the firm was censured and fined $90,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it submitted inaccurate, incomplete, or improperly formatted information to the Order Audit Trail FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB). Reported for April 2020 2 Disciplinary and Other FINRA Actions April 2020 System (OATS™).

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Fined: BNP Paribas Securities Corp. Fined by FINRA

Fined

BNP Paribas Securities Corp. Fined by FINRA

11 July 2019

An AWC was issued in which the firm was censured and fined $100,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to report and failed to timely report to the FINRA/Nasdaq Trade Reporting Facility® (FNTRF) transactions effected pursuant to the exercise of an overthe-counter (OTC) option that required a special trade report modifier.

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