FINRA Imposes a $100K Fine Against SageTrader Over ALM Failure
The Financial Industry Regulatory Authority (FINRA) has imposed a $100,000 fine against SageTrader, a securities brokerage company based in California. The broker also faces a…
Posts Tagged: FINRA
Beware of These Impostor Domains, FINRA Warns Organizations
The US Financial Industry Regulatory Authority (FINRA) has issued an alert about threat actors impersonating the regulator to carry out email phishing campaigns. According to the report,…
Former Goldman Sachs Analysts Banned by FINRA for Insider Trading
A former analyst of Goldman Sachs has been issued with a trading ban by FINRA. The analyst bought company shares using insider information he received…
eToro Plans $10.4 Billion Deal With SPAC, Prepares To Go Public
Online stock brokerage eToro has announced it intends to go public through a $10.4 billion partnership deal with SPAC. The brokerage is a direct competitor…
Robinhood Allocates $26 Million for Various Fines From FINRA, SEC
Robinhood really showed its philosophy of being for the people when it made unprompted trade restrictions that allowed the poor, vulnerable hedge funds to be…
Wells Fargo Clearing Services Fined By FINRA Over Lack Of Supervision
Wells Fargo Advisors, LLC, now known as Wells Fargo Clearing Services, LLC, has recently agreed to pay a fine of $350,000. This stands as part…
eToro Becomes Member of FINRA, Expands Stock Trading to US Markets
eToro, the social investing platform, has announced today that the Financial Industry Regulatory Authority, or FINRA, has recently approved its application of membership. With the…
ACS Execution Services ANd FINRA Engage In Reporting Violation Settlement
ACS Execution Services LLC, an execution services provider for broker-dealers based in New Jersey, has recently entered a settlement with the US regulator, the Financial…