America December 4, 2025
FINRA Barclays Fine Hits $325K Over Pandemic-Era Supervision Breakdown
In a regulatory reprimand that lands like an overdue audit, the Financial Industry Regulatory Authority has fined Barclays’ broker-dealer unit…
America October 31, 2025
FINRA Fines CIBC $425K for Massive Reporting Failures
CIBC World Markets Corp. has agreed to pay a $425,000 fine to settle allegations from the Financial Industry Regulatory Authority…
America October 29, 2025
Fisher Phillips Partners With Profluence to Power Legal Growth in the Sports Industry
In a bold move uniting law and sports business, Fisher Phillips Partners With Profluence, marking a strategic collaboration designed to…
America October 14, 2025
FINRA $650K Broker Fine Targets Miami Firm Over Compliance Lapses
A Miami-based brokerage, EFG Capital International, has agreed to pay $650,000 to settle Financial Industry Regulatory Authority (FINRA) allegations that…
America April 3, 2025
SunSetter Faces $9M Fine Over Defective Awning Covers
A Massachusetts-based awning manufacturer will pay $9.25 million and overhaul its compliance protocols to settle civil claims that it failed…
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…
America January 30, 2025
GS Foods pays £950K to settle bidding contract allegations
GS Foods Group Inc. has agreed to a nearly $950,000 settlement with the federal government after allegedly securing contracts meant…
America May 31, 2024
Thrivent Investment Management Inc. Settles FINRA Allegations for $325K
Minneapolis, MN – Financial services company Thrivent Investment Management Inc. has agreed to pay $325,000 to resolve allegations by the…
America May 2, 2024
Sullivan & Cromwell National Security Practice Group
Sullivan & Cromwell LLP has announced the formation of a Sullivan & Cromwell National Security Practice Group, aimed at guiding…
America February 9, 2024
SEC Cracks Down: $81M Collected in Latest Texting Probe Cases
In a stunning revelation, the U.S. Securities and Exchange Commission (SEC) announced a massive haul of over $81 million in…
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