Financial Industry Regulatory Authority

fined

Interactive Brokers to pay a $5.5 Million fine

21/08/2018(0)
The Financial Industry Regulatory Authority (FINRA) has issued a press release to announce that it has fined Interactive Brokers LLC (Interactive) $5.5 million for Regulation SHO violations and supervisory ... Read More
JPMorgan

J.P. Morgan Securities fined $1.25 Million

22/11/2017(0)
The Financial Industry Regulatory Authority (FINRA) announced it has fined J.P. Morgan Securities, LLC $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600, or ... Read More
wells-fargo

Wells Fargo Broker-Dealers to Pay $3.4 Million

17/10/2017(0)
The Financial Industry Regulatory Authority (FINRA) announced that it has ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 million ... Read More
finra1

FINRA fines broker dealer $750,000

13/09/2017(0)
FINRA Hearing Panel Fines C.L. King & Associates $750,000 for Negligent Misrepresentations and Omissions in Connection with Death Put Investments and AML-Related Violations The Financial Industry Regulatory Authority (FINRA) ... Read More
blockchain

FINRA reports on potential Implications of Blockchain in the securities industry

19/01/2017(0)
Distributed ledger technology (DLT), better known as blockchain, has garnered significant interest in the securities industry, with many market participants indicating a desire for increased regulatory engagement as they ... Read More
onestopbrokers-Regulators

SEC and FINRA Warn Investors About Penny Stock Scams

31/10/2014(0)
The Securities and Exchange Commission’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) issued an alert warning investors that some penny stocks being aggressively ... Read More
sec

SEC Announces Pilot Plan to Assess Stock Market Tick Size Impact for Smaller Companies

27/08/2014(0)
The Securities and Exchange Commission (SEC) today announced that the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) filed a proposal to establish a national market system ... Read More
finra1

FINRA Expels Success Trade Securities and Bars CEO Fuad Ahmed for Ponzi Scheme

26/06/2014(0)
The Financial Industry Regulatory Authority (FINRA) has announced that a FINRA hearing panel has expelled Washington, D.C.-based Success Trade Securities, Inc. from membership and barred its CEO and President, ... Read More
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