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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.
Wednesday, 28/07/2021 | 08:50 GMT
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.
Wednesday, 30/06/2021 | 22:50 GMT
by
Felipe Erazo
Regulation
Apifiny Gains Broker-Dealer License from FINRA
The company can expand its product line under the new license.
Thursday, 29/04/2021 | 12:30 GMT
by
Arnab Shome
Institutional FX
FINRA Bans Former Goldman Sachs Analyst for Insider Trading
The analyst purchased shares, gathering insider information from his colleague.
Tuesday, 20/04/2021 | 17:20 GMT
by
Arnab Shome
Institutional FX
FINRA Slaps $275K Fine on Citadel Securities for Reporting Violations
The market-maker neither agreed nor denied the allegations.
Friday, 26/03/2021 | 08:00 GMT
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.
Tuesday, 09/03/2021 | 09:10 GMT
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.
Monday, 04/01/2021 | 13:46 GMT
by
Bilal Jafar
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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'.
Monday, 30/11/2020 | 20:18 GMT
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.
Friday, 27/11/2020 | 09:54 GMT
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.
Wednesday, 25/11/2020 | 08:46 GMT
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.
Wednesday, 11/11/2020 | 14:53 GMT
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.
Wednesday, 11/11/2020 | 09:23 GMT
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.
Tuesday, 22/09/2020 | 04:18 GMT
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.
Friday, 11/09/2020 | 07:04 GMT
by
Arnab Shome
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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.
Friday, 04/09/2020 | 08:04 GMT
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.
Friday, 14/08/2020 | 13:08 GMT
by
Arnab Shome
Regulation
Morgan Stanley Accepts $175,000 Fine from FINRA to Settle Charges
FINRA has accused the bank of failing to supervise one of its registered representatives.
Thursday, 13/08/2020 | 07:09 GMT
by
Celeste Skinner
Regulation
FINRA Warns Member Firms Against Imposter Domain Name
FINRA has requested that the Internet domain registrar suspend services for “finnra.org”.
Thursday, 13/08/2020 | 05:01 GMT
by
Celeste Skinner
Regulation
FINRA Orders Merrill Lynch to Pay $150K Fine for Bad Trade Data
Merrill Lynch did not have adequate systems and controls in place to detect and prevent the violations.
Thursday, 23/07/2020 | 17:11 GMT
by
Aziz Abdel-Qader
Prime Brokerage
FINRA Slaps $175,000 Fine at Virtu for Not Offering Best Execution
The company did not admit or deny the allegations.
Wednesday, 22/07/2020 | 07:39 GMT
by
Arnab Shome
Regulation
Citadel Securities Fined $700K for Alleged Breach of FINRA Rules
FINRA accused the company of trading ahead of certain inactive OTC customer orders.
Monday, 20/07/2020 | 02:52 GMT
by
Celeste Skinner
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Regulation
FINRA Fines Morgan Stanley Over Inaccurate Trading Data
These problems involved nearly 869 inaccurate blue sheets on at least 156,678 options transactions.
Wednesday, 08/07/2020 | 20:03 GMT
by
Aziz Abdel-Qader
Regulation
Société Générale’s US Brokerage Pays $3.1M on ‘Blue Sheet’ Case
Finra and SEC faulted SG Americas Securities for providing deficient blue sheet submissions.
Wednesday, 24/06/2020 | 18:10 GMT
by
Aziz Abdel-Qader
Regulation
Sterling Trading Tech Gets FINRA Approval as CAT Reporting Agent
The company can serve as the designated CAT reporting agent for its clients.
Wednesday, 10/06/2020 | 03:21 GMT
by
Celeste Skinner
Regulation
Wall Street Regulator Tags Bank of America with $7.2 Million Fine
The investment bank agreed to pay the fine to resolve allegations that it excessively charged over 13,000 mutual fund clients
Thursday, 04/06/2020 | 16:17 GMT
by
Aziz Abdel-Qader
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