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The broker-dealer self-regulator accused the firm of failing to properly record more than 830,000 transactions, among other violations.
January 2 -
Only 68 tipsters received money in 2023, down from 100 in the previous year.
December 26 -
Industry watchdogs weren't concerned only about hot topics like artificial intelligence and cybersecurity but also remote work policies and the ability of brokers to clear their names.
December 22 -
Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.
December 19 -
The plaintiff in the class-action suit notes that returns at rival institutions rose when inflation started driving prices up last year. Her rates did not.
December 14 -
Bans on working at brokerage firms don't lead to prohibitions on acting as an RIA as often as one might think.
December 12 -
The doubts raised over the broker-dealer self-regulator's authority come amid a general questioning of the federal government's oversight powers.
December 8 -
A new report finds that contract clauses forcing investors' cases into private forums too often stack the deck in favor of firms.
December 5 -
Christopher Turean admitted to moving money out of a customer's account to place bets on DraftKings and FanDuel.
December 4 -
The fine arises from market manipulation committed by a pair of former employees over the course of nearly seven years.
November 30