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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
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
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
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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