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Institutional FX

Cboe’s BIDS Trading Fined $200K for Overstating Trade Volume

  • It overstated the advertised trade volumes due to system errors.
  • It has already accepted the penalty order.
Thursday, 26/05/2022 | 08:50 GMT by Arnab Shome
Brokers

FINRA Imposes $75,000 Penalty on Crown Capital

  • The authority fined Crown Capital in violation of FINRA rules 2040 and 2010.
  • Crown Capital has been a member of FINRA since 1972.
Monday, 14/03/2022 | 12:16 GMT by Bilal Jafar
Institutional FX

FINRA Fines Deutsche Bank Securities for Best Execution Violations

  • The authority alleges that SuperX trading system created an inherent delay for orders.
  • DBS also failed to disclose material aspects of its relationship with the markets.
Tuesday, 08/03/2022 | 19:15 GMT by Felipe Erazo
Institutional FX

Barclays Fined $350K for Lapses in Market Access Controls

  • It has already agreed to pay the penalty imposed by FINRA.
  • The failure impacted thousands of executed orders.
Friday, 25/02/2022 | 10:31 GMT by Arnab Shome
Brokers

FINRA Fines Former Interactive Brokers AML Compliance Officer

  • He was blamed for severe lapses and ignorance in performing his duty.
  • He has already agreed to the order of the regulator.
Monday, 14/02/2022 | 12:16 GMT by Arnab Shome
Executive Moves

Credit Suisse Onboards Robery Huray as SE Asia Investment Banking Vice-Chairman

  • Huray will be in charge of coverage in SE Asia of the global industrials group.
  • Nick Thursby Also Joins as the Head of Financial Institutions Group in SE Asia.
Monday, 31/01/2022 | 11:54 GMT by Tom Hazan
Regulation

Crypto Exchange Gemini Affiliate Gains FINRA Broker-Dealer License

  • The platform can now launch ATS to facilitate securities token trading.
  • It has also become a member of FINRA.
Thursday, 27/01/2022 | 13:51 GMT by Arnab Shome
Brokers

FINRA Fines E*TRADE $350K for Surveillance Failures

  • The lapses caused the inability to detect market manipulations.
  • The trading platform already accepted the order and agreed to pay the fine.
Wednesday, 12/01/2022 | 07:18 GMT by Arnab Shome
Institutional FX

FINRA Fines StoneX $60,000 for Compliance Failures

  • StoneX neither accepted or denied the allegations, but consented to the order.
Tuesday, 23/11/2021 | 08:31 GMT by Arnab Shome
Retail FX

FINRA Warns on a Phishing Email Campaign Using Imposter Domain Names

  • At least three domains were detected by the regulator which already requested the domain registrar to suspend them.
Friday, 13/08/2021 | 23:26 GMT by Felipe Erazo
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
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