Search for: "Interactive Brokers LLC"
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4 Apr 2019, 1:36 pm
The New Jersey Bureau of Securities announced that it has resolved its investigation of the online broker dealer Interactive Brokers LLC of Greenwich, CT (“Interactive”) relating to fraudulent trading activity and securities fraud Interactive permitted on its online trading platform. [read post]
15 Apr 2022, 1:59 am
April 14, Chicago—NFA has ordered Connecticut-based futures commission merchant and forex dealer Member Interactive Brokers LLC to pay a $250,000 fine. [read post]
28 Sep 2021, 1:46 pm
Read More The post CFTC Orders Interactive Brokers LLC to Pay a $1.75 Million Penalty for Supervision Failures appeared first on CFTC Law. [read post]
10 Aug 2020, 7:09 am
The Securities and Exchange Commission today announced that Interactive Brokers LLC will pay an $11.5 million penalty to settle charges it repeatedly failed to file Suspicious Activity Reports (SARs) for U.S. microcap securities trades it executed on…Read the Full Press ReleaseHave a securities law question? [read post]
14 Aug 2020, 8:48 am
Brokerage firm Interactive Brokers LLC will pay $38 million in penalties to settle charges from multiple U.S. market regulators regarding its anti-money laundering practices, including alleged failures to file suspicious activity reports (SARs). [read post]
6 Nov 2015, 9:51 am
The law offices of Gana LLP are tracking a number of cases that have been filed against brokerage firm Interactive Brokers LLC (Interactive Brokers). [read post]
15 Apr 2022, 1:59 am
Complaint and Decision – 22BCC00004 Read More [read post]
5 Oct 2023, 3:58 pm
For example, many investors held accounts with Jacobus through firms like Interactive Brokers LLC (Interactive Brokers) and Charles Schwab & Company, Inc. [read post]
15 Oct 2007, 4:00 pm
Commodity Futures Trading Commission (CFTC) ordered Interactive Brokers LLC (IBL) to relinquish $175,000 in commissions, for failing to properly supervise its compliance employees while handling a commodity futures trading account. [read post]
2 Aug 2017, 3:15 pm
Morgan Securities LLC, and Interactive Brokers LLC have been censured and fined a total of $4.75 million for violations of various provisions of the market access regulations and “related exchange supervisory rules,” according to reports. [read post]
2 Aug 2017, 6:45 am
Morgan Securities LLC, and Interactive Brokers LLC have been censured and fined a total of $4.75 million for violations of various provisions of the market access regulations and “related exchange supervisory rules,” according to reports. [read post]
21 May 2018, 10:07 am
The post FINRA Announces “Significant” Changes Impacting Brokers and Investors appeared first on Zamansky LLC. [read post]
1 Feb 2021, 10:14 am
Ameritrade, Interactive Brokers, Charles Schwab, and Other Brokerage Firms for Market Manipulation and Breach of Contract appeared first on Securities Arbitration Lawyer Blog. [read post]
25 Aug 2020, 6:12 am
Commodity Futures Trading Commission (CFTC) filed and settled charges against Interactive Brokers LLC, a registered futures commission merchant (FCM). [read post]
7 Mar 2022, 8:22 am
CRD#: 6084258) is a former registered broker and investment advisor whose last known employer was Ameriprise Financial Services, LLC (CRD#:6363) of Vienna, VA. [read post]
3 Apr 2022, 9:04 am
Interactive Brokers LLC, Respondent (FINRA Arbitration Award)Monmouth County Man Admits Orchestrating Multimillion-Dollar Accounts Receivable Factoring Scheme (DOJ Release)... [read post]
21 Aug 2020, 5:45 am
In Interactive Brokers, LLC v. [read post]
18 Oct 2018, 12:46 pm
Kennedy, President & Founder, AdvisorLaw, LLC If you have ever interacted with FINRA, whether that be in a disciplinary action, an expungement matter, or up against them in court, then this article will not shock you. [read post]
6 Feb 2017, 7:20 am
In order to properly supervise their brokers each firm is required to have procedures in order to monitor the activities of each advisor’s activities and interaction with the public. [read post]
14 Jan 2017, 6:49 am
(Sterne Agee) and Interactive Brokers LLC (Interactive Brokers) alleging that the firms failed to supervise Mustaphalli’s misconduct. [read post]
