Haohan Xu, CEO of Apifiny, said: As we accelerate our product development, partnerships, hiring, and overall growth toward a public…
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Forex Weekly Look Back: CLS reports an increase in March trading volumes, Lars Gottwik leaves JFD
Robinhood has announced Christine Brown will lead its crypto division as Chief Operating Officer. At her new position, she’ll oversee…
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FINRA bars former Goldman Sachs research analyst Brian Maguire
The US watchdog found that in April and June last year, Maguire bought shares of two companies in undisclosed accounts…
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Controversy for Robinhood as it fails to report fractional shares trading
The Financial Industry Regulatory Authority has been known to fine brokerages in the past for failing to report such transactions,…
Read MoreUS regulator FINRA warns against fake domain website
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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