tastytrade

United States

Founded in

2011 (14 Years)

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TrustFinance Intelligence Agency

Research date: Thg 02 28, 2025

Tastytrade, Inc. has been fined $30,000 by FINRA for failing to maintain a supervisory system to monitor outside securities accounts of its employees. From July 2021 to July 2023, the firm did not adequately review these accounts for potential violations, leading to significant delays in compliance checks. Tastytrade updated its supervisory procedures in July 2023 following these issues. The firm has been a FINRA member since 2016 and provides self-directed trading services to retail investors.

Tastytrade, Inc. has been fined $30,000 by FINRA for failing to maintain a supervisory system to monitor outside securities accounts of its employees. From July 2021 to July 2023, the firm did not adequately review these accounts for potential violations, leading to significant delays in compliance checks. Tastytrade updated its supervisory procedures in July 2023 following these issues. The firm has been a FINRA member since 2016 and provides self-directed trading services to retail investors.

FINRA has fined tastytrade, a retail trading platform and subsidiary of IG Group, $30,000 for inadequate supervision of employees' outside trading accounts from July 2021 to June 2023. The firm failed to maintain a proper supervisory system, resulting in significant delays in reviewing trading activities. Despite this sanction, IG Group's stock price remained unaffected. Tastytrade has since updated its supervisory procedures to address these issues.

FINRA has fined tastytrade, a retail trading platform and subsidiary of IG Group, $30,000 for inadequate supervision of employees' outside trading accounts from July 2021 to June 2023. The firm failed to maintain a proper supervisory system, resulting in significant delays in reviewing trading activities. Despite this sanction, IG Group's stock price remained unaffected. Tastytrade has since updated its supervisory procedures to address these issues.