The Financial Industry Regulatory Authority (FINRA) has fined Citigroup’s global markets business $1.25 million for not performing background checks on thousands of non-registered employees for...
Amid the news this week that a new cryptocurrency would debut — that would be Facebook’s Libra, of course — might the regulatory landscape be...
Morgan Stanley, the U.S. Wall Street firm, was fined $10 million by the Financial Industry Regulatory Authority (FINRA) for compliance failures. According to a report...
Digital money platform Uphold announced that it has reached an agreement to acquire New York Stock Exchange member JNK Securities Corp. If the deal is...
The Financial Industry Regulatory Authority (FINRA) announced news on Monday (Oct. 16) that it has ordered Wells Fargo Clearing Services and Wells Fargo Advisors Financial...
On the regulatory front, last week saw a bit of news about mergers – actually, more than a bit. Specifically, the agreement for U.S. credit...
The art of deceiving people out of money is nothing new. Dating back to the twentieth century with Charles Ponzi, Ponzi schemes have been used...
On Friday (Sept. 23), FINRA filed a lawsuit on behalf of JPMorgan Chase against a whistleblower over a client loss that amounted to a whopping...
The Financial Industry Regulatory Authority (FINRA) has fined financial giant Deutsche Bank Securities $12.5 million on Monday (Aug. 8), Reuters reported. The fine came in...