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Regulation

First Standard Loses Broker-Dealer License for Excessive Trading

  • The core allegations involve excessively trading customer accounts, which led to $28 million in losses.
Tuesday, 05/11/2019 | 15:28 GMT by Aziz Abdel-Qader
Regulation

Security Token Platform TokenSoft Acquires US Broker Dealer

  • The acquisition puts the company on a firmer regulatory footing with the Securities and Exchange Commission.
Thursday, 13/12/2018 | 19:02 GMT by Aziz Abdel-Qader
Execution

INTL FCStone Acquires NY Broker Dealer GMP Securities

  • Established in 1999, GMP Securities employs approximately 40 people across New York, Fort Lauderdale, Stamford and Plano.
Wednesday, 12/12/2018 | 15:40 GMT by Aziz Abdel-Qader
Brokers

Heightened Supervision Measures are Lacking Amongst Broker-Dealers

  • An examination found some of its members have no heightened supervision measures in place at all.
Wednesday, 26/09/2018 | 07:36 GMT by Celeste Skinner
Regulation

Athena Blockchain Teams Up with US Broker Dealer 303 Alternatives

  • The acquisition puts the Chicago-based company on a firmer regulatory footing.
Monday, 27/08/2018 | 17:07 GMT by Aziz Abdel-Qader
News

Crypto Dealer SFOX Raises $22.7M to Create Products for Institutional Investors

  • The firm also plans to expand its staff and offices.
Friday, 17/08/2018 | 07:23 GMT by Rachel McIntosh
Executive Moves

Tribal Capital Markets Hires Ian C. Burdette as Head of Trading and Risk

  • Burdette joins the broker with more than 20 years of experience, including senior roles at Merrill Lynch and Goldman Sachs.
Thursday, 19/07/2018 | 06:25 GMT by Celeste Skinner
Regulation

Broker Dealer Cites Technicality for Relief in $17.2 Million Case

  • The judge rejected the prosecutors’ bid to bring this case under the 2010 Dodd Frank Act and its limit of 6 years.
Monday, 07/08/2017 | 07:55 GMT by Colin Firth
Thought Leaders

What Difficulties do Chief-Dealers Face?

  • Problems might crop up with the growth of your client base and orders.
Tuesday, 27/06/2017 | 14:40 GMT by Dmitry Rannev
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