broker dealers

penalty image

Three Broker-Dealers to pay more than $6 Million in penalties

13/12/2018(0)
The Securities and Exchange Commission (SEC) announced that three broker-dealers have agreed to pay more than $6 million to settle charges for providing the SEC with incomplete and inaccurate ... Read More
sec-logo

SEC Establishes Supervisory Cooperation Arrangement With Hong Kong SFC

20/01/2017(0)
The Securities and Exchange Commission today announced that it has established a comprehensive arrangement with the Hong Kong Securities and Futures Commission (SFC) as part of the SEC’s long-term ... Read More
accounting audit

Accounting Watchdog Says Most Brokerage-Firm Audits Need to Improve

19/08/2016(0)
Federal inspectors found deficiencies in more than three-quarters of the audits of broker-dealers they reviewed last year, down from the previous year but still at a high level, the ... Read More
The corporate logo of financial firm Morgan Stanley is pictured on a building in San Diego

Morgan Stanley brokers say they were underpaid

04/08/2015(0)
Several Morgan Stanley financial advisers say they were underpaid thousands of dollars by the bank, which rebuilt its business on the back of the wealth management division where they ... Read More
Broker Cyprus TopFX