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11 Sep 2023, 2:36 am
If a broker dealer fails to adequately disclose risks or make unsuitable investment recommendations, it can be held liable for investment losses. [read post]
1 Sep 2023, 6:44 am
While the SEC’s press release calls Saw a “former registered representative at a New York broker-dealer,” FINRA’s BrokerCheck still shows her as currently registered. [read post]
31 Aug 2023, 8:09 am
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. [read post]
29 Aug 2023, 1:10 pm
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. [read post]
29 Aug 2023, 12:32 pm
Hilltop Holdings, Inc. completed its acquisition of SWS Group, Inc. in 2015. [read post]
29 Aug 2023, 7:58 am
ATSI, a Chicago-based broker-dealer, has agreed to pay $1.5 million to settle the charges. [read post]
23 Aug 2023, 11:03 am
FINRA is the self-regulator who oversees brokers and broker-dealers. [read post]
17 Aug 2023, 10:49 am
May 2019 – Fidelity Masonic Temple Association, Inc. [read post]
16 Aug 2023, 8:31 am
Broker dealers are required to perform adequate due diligence on any investment they recommend and to ensure that all recommendations are suitable for the investor. [read post]
16 Aug 2023, 4:35 am
The SEC has charged Coinbase with registration violations including failure to register as a national securities exchange, broker-dealer, and clearing agency. [read post]
14 Aug 2023, 11:36 am
He has not been registered with another broker-dealer since. [read post]
14 Aug 2023, 4:58 am
Further, Bittrex, as alleged, failed to register and comply with U.S. securities laws as an exchange, broker-dealer, and clearing agency. [read post]
9 Aug 2023, 11:25 am
Broker Dealers and Private Text Apps – SEC Issues $539 Million in Fines On August 8, 2023, The Securities and Exchange Commission announced 10 charges against firms and one dually registered broker-dealer and investment adviser for widespread and longstanding failures to maintain and preserve electronic communications. [read post]
8 Aug 2023, 9:31 am
The Securities and Exchange Commission has charged 11 firms in their capacity as broker-dealers and one dually registered broker-dealer and investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications. [read post]
31 Jul 2023, 12:40 pm
(CRD#:7059), NEW YORK, NY B, 11/07/2016 – 09/28/2021, CITIGROUP GLOBAL MARKETS INC. [read post]
28 Jul 2023, 1:02 pm
Use resources available to you like BrokerCheck by FINRA, as you can investigate your financial advisor or broker in a few simple steps. [read post]
20 Jul 2023, 10:44 am
On April 17, 2023, the SEC charged Bittrex, Inc., Bittrex Global GmbH, and William Hiroaki Shihara, co-founder and former chief executive officer (collectively, “Bittrex”) for the failure to register as an exchange, a broker-dealer, and a clearing agency, pursuant to the Exchange Act. [read post]
10 Jul 2023, 6:47 am
The SEC’s charges against Meadow, a broker-dealer, and Teixeira, the chief compliance officer at a payment processing company, relate to information that Teixeira obtained from the laptop of his girlfriend who worked for a New York-based investment bank. [read post]
29 Jun 2023, 8:30 am
” Some brokers, looking to supplement their income, will go outside the traditional market, trying to find other products to push. [read post]
19 Jun 2023, 5:09 am
(NEO: INXD, INXATS: INX, OTCQB: INXDF) ("INX"), a US-regulated broker-dealer, ATS, and transfer agent, announced today that Republic ("Republic"), a global financial firm [...] [read post]
