VerdictStats

Financial Industry Regulatory Authority

FINRA v. Clear Street LLC

Settled$175KFine

Clear Street LLC was censured and fined for routing options orders for execution with inaccurate origin codes, resulting in the execution of 988,170 options contracts with an origin code of “Customer” that should have been coded “Professional Customer.” According to FINRA, the firm failed to reasonably supervise the accuracy of its options order origin codes.

Summary generated from official Financial Industry Regulatory Authority press release

Source: Financial Industry Regulatory Authority Press Release ↗

Parties

Defendants / Respondents
  • Clear Street LLC

Dates

Resolved
December 16, 2025
Published
December 17, 2025

Case Details

Industry
Finance
Penalty Type
Fine