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Dealers
Europe's Economic Crossroads: Recession Fears and S&P Global's
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Regulation
First Standard Loses Broker-Dealer License for Excessive Trading
2019-11-05T17:28:19.000+02:00
The core allegations involve excessively trading customer accounts, which led to $28 million in losses.
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Regulation
Security Token Platform TokenSoft Acquires US Broker Dealer
2018-12-13T21:02:23.000+02:00
The acquisition puts the company on a firmer regulatory footing with the Securities and Exchange Commission.
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Execution
INTL FCStone Acquires NY Broker Dealer GMP Securities
2018-12-12T17:40:43.000+02:00
Established in 1999, GMP Securities employs approximately 40 people across New York, Fort Lauderdale, Stamford and Plano.
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Brokers
Heightened Supervision Measures are Lacking Amongst Broker-Dealers
2018-09-26T09:36:18.000+02:00
An examination found some of its members have no heightened supervision measures in place at all.
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Celeste Skinner
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Regulation
Athena Blockchain Teams Up with US Broker Dealer 303 Alternatives
2018-08-27T19:07:14.000+02:00
The acquisition puts the Chicago-based company on a firmer regulatory footing.
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Aziz Abdel-Qader
News
Crypto Dealer SFOX Raises $22.7M to Create Products for Institutional Investors
2018-08-17T09:23:09.000+02:00
The firm also plans to expand its staff and offices.
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Rachel McIntosh
Executive Moves
Tribal Capital Markets Hires Ian C. Burdette as Head of Trading and Risk
2018-07-19T08:25:18.000+02:00
Burdette joins the broker with more than 20 years of experience, including senior roles at Merrill Lynch and Goldman Sachs.
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Regulation
Broker Dealer Cites Technicality for Relief in $17.2 Million Case
2017-08-07T09:55:52.000+02:00
The judge rejected the prosecutors’ bid to bring this case under the 2010 Dodd Frank Act and its limit of 6 years.
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Colin Firth
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Thought Leaders
What Difficulties do Chief-Dealers Face?
2017-06-27T16:40:32.000+02:00
Problems might crop up with the growth of your client base and orders.
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