The “finnra.org” domain is not connected to FINRA. Firms should delete all emails originating from this domain name. The US…
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Interactive Brokers to pay over $38 million penalty to settle charges with regulators
The CFTC filed charges against Interactive Brokers for failing to supervise its officers’, employees’, and agents’ handling of several commodity…
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FINRA fines Robinhood with $1.25m for dubious execution processes
FINRA has recently fined Robinhood with a $1.25 million for execution lapse processes. The California-based unicorn that offers commission-free trading…
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Former banker slapped on the wrist for crypto mining, while still employed
The regulatory wheels of justice may move slowly, but it appears that the long arm of the law of the…
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FINRA’s 2018 volume tops 2017 activity by 87%
Market volatility generated an exceptional amount of processing volume for the Financial Industry Regulatory Authority (FINRA) in 2018 – 66.7…
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Morgan Stanley fined $10m for AML program
FINRA, a not-for-profit organization dedicated to investor protection and market integrity, has announced that it has fined Morgan Stanley Smith…
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Merrill Lynch fined $6m for selling Facebook, General Motors, LinkedIn IPOs to industry insiders
FINRA has informed the public that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc. for improperly selling shares…
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UBS fined $15m over deficiencies in anti-money laundering programs
UBS (NYSE:UBS) has agreed to pay $15 million total fine to FINRA, SEC and FinCEN. The financial services company failed to…
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FINRA takes its first-ever disciplinary action involving cryptocurrencies
FINRA has just announced that it filed a complaint against Timothy Tilton Ayre of Agawam, Massachusetts, charging him with securities…
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FINRA releases report on the rise of RegTech
FINRA has released a white paper outlining recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and…
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