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Prime Brokerage

FINRA Settles Charges Against BGC Financial for $100,000 Fine

  • The broker did not accept or reject the charges against it.
Friday, 14/08/2020 | 13:08 GMT by Arnab Shome
Regulation

Morgan Stanley Accepts $175,000 Fine from FINRA to Settle Charges

  • FINRA has accused the bank of failing to supervise one of its registered representatives.
Thursday, 13/08/2020 | 07:09 GMT by Celeste Skinner
Regulation

FINRA Warns Member Firms Against Imposter Domain Name

  • FINRA has requested that the Internet domain registrar suspend services for “finnra.org”.
Thursday, 13/08/2020 | 05:01 GMT by Celeste Skinner
Regulation

FINRA Orders Merrill Lynch to Pay $150K Fine for Bad Trade Data

  • Merrill Lynch did not have adequate systems and controls in place to detect and prevent the violations.
Thursday, 23/07/2020 | 17:11 GMT by Aziz Abdel-Qader
Prime Brokerage

FINRA Slaps $175,000 Fine at Virtu for Not Offering Best Execution

  • The company did not admit or deny the allegations.
Wednesday, 22/07/2020 | 07:39 GMT by Arnab Shome
Regulation

Citadel Securities Fined $700K for Alleged Breach of FINRA Rules

  • FINRA accused the company of trading ahead of certain inactive OTC customer orders.
Monday, 20/07/2020 | 02:52 GMT by Celeste Skinner
Regulation

FINRA Fines Morgan Stanley Over Inaccurate Trading Data

  • These problems involved nearly 869 inaccurate blue sheets on at least 156,678 options transactions.
Wednesday, 08/07/2020 | 20:03 GMT by Aziz Abdel-Qader
Regulation

Société Générale’s US Brokerage Pays $3.1M on ‘Blue Sheet’ Case

  • Finra and SEC faulted SG Americas Securities for providing deficient blue sheet submissions.
Wednesday, 24/06/2020 | 18:10 GMT by Aziz Abdel-Qader
Regulation

Sterling Trading Tech Gets FINRA Approval as CAT Reporting Agent

  • The company can serve as the designated CAT reporting agent for its clients.
Wednesday, 10/06/2020 | 03:21 GMT by Celeste Skinner
Regulation

Wall Street Regulator Tags Bank of America with $7.2 Million Fine

  • The investment bank agreed to pay the fine to resolve allegations that it excessively charged over 13,000 mutual fund clients
Thursday, 04/06/2020 | 16:17 GMT by Aziz Abdel-Qader
Exchanges

SIFMA Reaches Settlement with US Exchanges for CAT Dispute

  • US Exchanges have agreed to remove language which limits their liability should the CAT database be breached.
Thursday, 14/05/2020 | 06:22 GMT by Celeste Skinner
Regulation

FINRA Fines Morgan Stanley $300,000 for Reporting Failures

  • The regulator said the bank failed to timely report a number of fixed income transactions.
Thursday, 26/03/2020 | 08:35 GMT by Celeste Skinner
Institutional FX

FINRA Fines GFI Securities over Market Access Lapses

  • Among other things, GFI failed to prevent the entry of orders that exceeded appropriate pre-set credit thresholds.
Thursday, 12/03/2020 | 18:48 GMT by Aziz Abdel-Qader
Regulation

FINRA Fines Wedbush Securities $30,000 for Reporting Failures

  • The company and the regulator have reached a settlement agreement.
Wednesday, 19/02/2020 | 07:48 GMT by Celeste Skinner
Regulation

FINRA Hits Virtu Americas with $250,000 Regulatory Fine

  • Wall Street’s watchdog found that the firm failed to avoid displaying, locking or crossing quotations in OTC Equity Securities.
Wednesday, 05/02/2020 | 15:47 GMT by Aziz Abdel-Qader
Executive Moves

FINRA’s Executive VP for Regulatory Policy to Retire

  • Tom Selman’s last day at the regulator was January 31, 2020.
Friday, 31/01/2020 | 12:00 GMT by Celeste Skinner
Analysis

Virtu Pays $125K FINRA Fine, ESMA to Crack Down on Crypto: Editor’s Pick

  • Stay up to date with the most interesting developments in the crypto and FX space.
Sunday, 12/01/2020 | 12:57 GMT by Celeste Skinner
Regulation

FINRA, Exchange Consortium Fines Credit Suisse Securities $6.5m

  • Credit Suisse failed to address nearly 50,000 alerts from FINRA for potential manipulative trading over a 4 year period.
Monday, 23/12/2019 | 15:54 GMT by Jeff Patterson
Analysis

Lee Elbaz Goes to Prison, Robinhood Fined: Editor’s Pick

  • Stay up to date with the most interesting stories in the crypto and FX space.
Sunday, 22/12/2019 | 12:36 GMT by Celeste Skinner
Regulation

BNP Paribas Fined $15 Million over Penny Stocks Transactions

  • Although BNP transacted over 70,000 wire transfers worth $233 billion, it relied on only one investigator to review AML alerts.
Thursday, 24/10/2019 | 18:15 GMT by Aziz Abdel-Qader
News

Grayscale Gets FINRA’s Nod to Publicly List Crypto Fund

  • The fund is made up of five digital assets with the majority of shares in Bitcoin.
Tuesday, 15/10/2019 | 08:32 GMT by Arnab Shome
News

FINRA Wants Firms to Report All Crypto-Related Activities

  • A massive bipartisan move against crypto is going on in the US.
Monday, 22/07/2019 | 07:30 GMT by Arnab Shome
Regulation

BNP Fined $100k for Options Compliance Failings

  • The broker-dealer put two systems in place that both failed to properly report transactions to the FNTRF
Friday, 12/07/2019 | 10:22 GMT by David Kimberley
Regulation

FINRA Fines Summit Brokerage $600,000 For Excessive Trading

  • A former firm representative placed 533 trades for a retired customer, causing her to pay $171,000 in commissions
Tuesday, 02/07/2019 | 20:23 GMT by Aziz Abdel-Qader
Regulation

Gemini Applying for FINRA License

  • The US regulator is already sitting on 40 applications from crypto firms
Tuesday, 02/07/2019 | 15:46 GMT by David Kimberley
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