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Brokers

FINRA Imposes $75,000 Penalty on Crown Capital

  • The authority fined Crown Capital in violation of FINRA rules 2040 and 2010.
  • Crown Capital has been a member of FINRA since 1972.
by Bilal Jafar
Institutional FX

FINRA Fines Deutsche Bank Securities for Best Execution Violations

  • The authority alleges that SuperX trading system created an inherent delay for orders.
  • DBS also failed to disclose material aspects of its relationship with the markets.
by Felipe Erazo
Institutional FX

Barclays Fined $350K for Lapses in Market Access Controls

  • It has already agreed to pay the penalty imposed by FINRA.
  • The failure impacted thousands of executed orders.
by Arnab Shome
Brokers

FINRA Fines Former Interactive Brokers AML Compliance Officer

  • He was blamed for severe lapses and ignorance in performing his duty.
  • He has already agreed to the order of the regulator.
by Arnab Shome
Executive Moves

Credit Suisse Onboards Robery Huray as SE Asia Investment Banking Vice-Chairman

  • Huray will be in charge of coverage in SE Asia of the global industrials group.
  • Nick Thursby Also Joins as the Head of Financial Institutions Group in SE Asia.
by Tom Hazan
Regulation

Crypto Exchange Gemini Affiliate Gains FINRA Broker-Dealer License

  • The platform can now launch ATS to facilitate securities token trading.
  • It has also become a member of FINRA.
by Arnab Shome
Brokers

FINRA Fines E*TRADE $350K for Surveillance Failures

  • The lapses caused the inability to detect market manipulations.
  • The trading platform already accepted the order and agreed to pay the fine.
by Arnab Shome
Institutional FX

FINRA Fines StoneX $60,000 for Compliance Failures

  • StoneX neither accepted or denied the allegations, but consented to the order.
by Arnab Shome
Retail FX

FINRA Warns on a Phishing Email Campaign Using Imposter Domain Names

  • At least three domains were detected by the regulator which already requested the domain registrar to suspend them.
by Felipe Erazo
Brokers

Robinhood Faces Regulatory Probe on Staff’s Meme Stock Trading

  • Both the SEC and FINRA are seeking details from the broker on multiple matters.
by Arnab Shome
Retail FX

FINRA Orders Robinhood to Pay $70 Million for Supervisory Failures

  • The regulator stated that sanctions imposed represent the largest financial penalty ever ordered by them.
by Felipe Erazo
Regulation

Apifiny Gains Broker-Dealer License from FINRA

  • The company can expand its product line under the new license.
by Arnab Shome
Institutional FX

FINRA Bans Former Goldman Sachs Analyst for Insider Trading

  • The analyst purchased shares, gathering insider information from his colleague.
by Arnab Shome
Institutional FX

FINRA Slaps $275K Fine on Citadel Securities for Reporting Violations

  • The market-maker neither agreed nor denied the allegations.
by Arnab Shome
Executive Moves

Stephanie Dumont Has Been Promoted as FINRA’s New Executive Vice President

  • Dumont will report to the President and CEO, Robert W. Cook and become a member of FINRA’s Management Committee.
by Tom Hazan
Regulation

FINRA Slaps $6.5 Million Fine on LPL Financials

  • The regulatory authority fined LPL for failing to establish a supervisory system to meet compliance requirements.
by Bilal Jafar
Regulation

Wall Street Regulator Sounds Alarm over Email Phishing Scam

  • The mass email scam appears to be from the source domain name '@invest-finra.org'.
by Aziz Abdel-Qader
Regulation

FINRA Fines Wells Fargo Second Time in a Month

  • The bank accepted the censure and a fine of $75,000.
by Arnab Shome
Regulation

FINRA Imposes $150,000 Fine on Santander Investment Securities

  • The authority imposed a penalty on Santander as the firm failed to capture 6 million emails due to a coding error.
by Bilal Jafar
Executive Moves

Global Relay Has Named Chip Jones as VP of Compliance

  • Jones brings unrivalled industry insight and expertise to its leadership team.
by Tom Hazan
Regulation

FINRA Slaps $475,000 Fine on CitiGroup Global Markets

  • The authority fined CitiGroup for failing to disclose potential conflict of interest related to equity research reports.
by Bilal Jafar
Executive Moves

FINRA Veteran Michael Rufino to Leave the US Regulator after 32 Years

  • Rufino will leave the US authority at the end of this year.
by Celeste Skinner
News

tZERO Gets FINRA’s Nod for Retail Broker-Dealer Subsidiary

  • The company is planning for launch in a couple of months.
by Arnab Shome
Institutional FX

State Street Settles Charges with FINRA for $75,000 Fine

  • The broker did not admit or deny the allegations, but settled to prevent the regulator from taking any further actions.
by Arnab Shome
Prime Brokerage

FINRA Settles Charges Against BGC Financial for $100,000 Fine

  • The broker did not accept or reject the charges against it.
by Arnab Shome
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