America October 24, 2025
Virtu SEC Suit Settlement Delayed Amid Government Shutdown
A long-anticipated settlement between Virtu Financial Inc. and the U.S. Securities and Exchange Commission (SEC) has hit an unexpected pause,…
America February 5, 2025
FINRA Fines Apex Clearing $3.2M Over Securities Lending Violations
Broker-dealer Apex Clearing Corp. has agreed to pay a $3.2 million fine to the Financial Industry Regulatory Authority (FINRA) to…
Financial Investigations April 19, 2018
Registered Broker-Dealer Settles Charges for Securities Related Violations
Rogue Broker-Dealer Electronic Transaction Clearing (ETC), a registered broker-dealer headquartered in Los Angeles, California, agrees to settle various Securities and…
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