FINRA

The broker-dealer put two systems in place that both failed to properly report transactions to the FNTRF

A former firm representative placed 533 trades for a retired customer, causing her to pay $171,000 in commissions

The US regulator is already sitting on 40 applications from crypto firms

Kyung Soo Kim will also have to pay a $5,000 fine for starting a mining operation without informing his ...

SeedInvest will provide secondary market ‎liquidity for ICO tokens that are offered and sold as securities.

Finra also said Cantor repeatedly ignored “red flags,” including internal audit findings from its staff.

The regulatory body attributed the increase to spikes in volatility and growth in market electronification

The bank did not comply with the AML-rules for over 5 years and ignored warnings by its own system.

An examination found some of its members have no heightened supervision measures in place at all.

Ayre repackaged HempCoin tokens and promoted it as “a security backed by RMTN common stock".

Brian Kovack was re-elected to the board as its sole mid-size firm representative.

The broker was charged with supervisory failings regarding naked short positions for a period of at least three years.

The raised prices are in response to higher operational costs and off-exchange trading volumes, a regulatory filing said.

Relevant activities include mining and acceptance of cryptocurrency from customers.

From next Monday, the regulator will begin to perform public record reviews of potential financial advisors.

The company looks to leverage its newly acquired regulation to expand its business operations and client base.

The mistakes affected investment decisions ‎that were based on CGMI’s ratings‎.

JPMS‎ neither admitted nor denied the charges, but consented to the entry ‎of ‎FINRA’s findings. ‎

A number of 'pump and dump' scams have been preying on US investors.

Overstock CEO Patrick Byrne said: "From what I am hearing, we are going to raise a fortune – $200-$500m ...

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