FINRA has reached a settlement with Interactive Brokers, a
member since 1995, over allegations of rule violations related to free-riding
in customer cash accounts. The firm accepted a Letter of Acceptance, Waiver,
and Consent (AWC) as part of the...
Publicly
traded on the Nasdaq, the online brokerage firm Interactive Brokers (NQ: IBKR) has
agreed to pay a $475,000 fine to settle charges brought by the exchange. The
alleged violations pertained to five different "corporate actions,"
including...
The
Financial Industry Regulatory Authority (FINRA) has censured H2C Securities
Inc. and fined the firm $250,000 for failing to preserve and review over 1.25
million business-related electronic communications from January 2013 to June
2021. The...
Broadridge Expands Shareholder Disclosure Solution After its
successful implementation in Europe, Broadridge Financial Solutions has
announced the expansion of its Shareholder Disclosure solution to accommodate
the regulatory demands of the UK,...
BGC
Financial, L.P., a member of the Financial Industry Regulatory Authority (FINRA),
has submitted a Letter of Acceptance, Waiver, and Consent (AWC) in response to
alleged rule violations. The purpose of this AWC is to propose a...
Atomic Wallets high rating despite the recent hack and the way the company is handling the aftermath makes former users further question the company’s trustworthiness.
The
Financial Industry Regulatory Authority (FINRA) has slammed a censure and fine
of $900,000 on Credit Suisse for reporting more than 9,000 late trades and
hundreds of thousands of inaccurate TRACE reports. The newest ruling covers the
period from...
Discover the top 5 digital currency wallets for secure cryptocurrency storage and management. From Klever Wallet K5s biometric authentication protocols to Giddy's easy-to-use UX/UI and legal compliance, Nimiq's decentralized node setup, Atomic...
<p>The Financial Industry Regulatory Authority (FINRA) has slammed another
fine on New York-based securities broker, UBS Securities (UBS-S). This time the
self-regulatory organization hit the firm, which is the brokerage arm of Swiss banking...
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