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FINRA Fines Arcadia Securities $40,000 for Net Capital Violations
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Abstract：The Financial Industry Regulatory Authority (FINRA) has fined Arcadia Securities LLC $40,000 for failing to comply with minimum net capital requirements, according to a settlement agreement announced this week.
The Financial Industry Regulatory Authority (FINRA) has fined Arcadia Securities LLC $40,000 for failing to comply with minimum net capital requirements, according to a settlement agreement announced this week.
Between October 2023 and February 2024, Arcadia conducted securities business on three separate days while failing to maintain the required minimum net capital. These lapses violated Section 15(c)(3) of the Securities Exchange Act of 1934, Exchange Act Rule 15c3-1, and FINRA Rules 4110(b)(1) and 2010.
Additionally, from October 2023 to March 2025, Arcadia failed to implement and enforce a supervisory system reasonably designed to ensure compliance with net capital rules, in violation of FINRA Rules 3110 and 2010.
As part of the settlement, Arcadia is censured and must pay the $40,000 fine.
Founded in August 1998, Arcadia Securities is headquartered in New York, and operates four branch offices with 39 registered representatives. The firm provides a range of general securities services for both retail and institutional clients, including equity and corporate debt sales, private placements, and underwriting services.
FINRA emphasized that maintaining net capital and a robust supervisory system is critical to ensuring financial stability and investor protection.
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