Search Results for: FINRA
Wells Fargo Broker-Dealers to Pay $3.4 Million
October 17th, 2017
The Financial Industry Regulatory Authority (FINRA) announced that it has ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 million in restitution to affected customers for unsuitable recommendations of volatility-linked ...
FCA reports on new evidence on liquidity in the UK corporate bond market
February 16th, 2017
The Finacial Conduct Authority (FCA) of UK, has issued a press release to inform regarding new data for the liquidity in the UK’s corporate bond market over the past two years. Below is the press releases as it was ...
Nukkleus which obtained a shareholder stake in IBIH Limited the parent company of IronFX Global Group files Q2 financial report
August 22nd, 2016
Nukkleus Inc. has filled its Quarterly Report with the U.S. Securities and Exchange Commission (SEC) in the Form of FORM 10-Q/A, providing, among other, insights of the acquisition of a 9.9% shareholder stake in IBIH, as well as the acquisition ...
Barclays fined $1.3 Million for failures and violations
August 4th, 2016
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Barclays Capital Inc. $1.3 million for systemic Order Audit Trail System (OATS) reporting violations and related supervisory failures. FINRA rules require firms to transmit to OATS complete ...
Tullett Prebon to acquire Creditex’s US hybrid voice broking business
August 1st, 2016
Tullett Prebon, one of the world’s leading interdealer brokers, announces that it has entered into an agreement to acquire Creditex’s US hybrid voice broking business from Intercontinental Exchange. The market-leading team of 14 brokers, located in New York, provides ...
Citadel appoints Chief Technology Officer of hedge fund business
June 30th, 2016
Citadel announced the appointment of Steven Lieblich as Chief Technology Officer of Citadel’s hedge fund business. A 30-year veteran of Morgan Stanley, Steve has served in a series of senior technology roles, most recently as Morgan Stanley’s Chief Information ...
Five tips on How Investors Can Avoid Getting Fooled
April 4th, 2016
The Financial Industry Regulatory Authority (FINRA) offers five tips to help investors avoid being tricked out of their money. “April 1st is a day to indulge in silly hoaxes and pranks. But there’s nothing funny about a fraudster carrying ...
Deutsche Bank agrees to pay $4 mln for trading violations
March 31st, 2016
A Deutsche Bank AG unit will pay more than $4 million to settle allegations that it failed to properly report data on millions of options trades, according to a Financial Industry Regulatory Authority (FINRA) document. The alleged conduct between ...
Morgan Stanley Ordered to Pay Over $34 Million to HSN Co-Founder’s Estate
March 22nd, 2016
Ms. Forte had been Mr. Speer’s financial adviser since the late 1990s An arbitration panel ordered Morgan Stanley to pay more than $34 million to the estate of deceased Home Shopping Network co-founder Roy M. Speer and his foundation, ...
NYSE Completes Move To A New Regulatory Approach And Announces Key Leadership Appointments
March 17th, 2016
The New York Stock Exchange, a subsidiary of the Intercontinental Exchange (NYSE:ICE), a leading operator of global exchanges, today announced it has completed the transition of its regulatory services, along with two leadership appointments in the areas of Listings ...
