Category Archives: Quantlab Securities

Quantlab Securities Censured and Fined By FINRA

Quantlab Securities, LP, of Houston, TX, was censured and fined $17,500 by FINRA and was also required to revise its written supervisory procedures.

The FINRA findings stated that the firm’s supervisory system did not provide for supervision reasonably designed to achieve compliance with respect to certain securities laws and regulations concerning anti-intimidation/coordination, sales transactions and other rules.

To review Quantlab’s entire FINRA disciplinary record on the BrokerCheck website, see our ‘Research Your Broker” page.

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