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FINRA Barclays fine

America

FINRA Barclays Fine Hits $325K Over Pandemic-Era Supervision Breakdown

Rihem Akkouche -

December 4, 2025

CIBC $425K fine

America

FINRA Fines CIBC $425K for Massive Reporting Failures

Rihem Akkouche -

October 31, 2025

FINRA $650K broker fine

America

FINRA $650K Broker Fine Targets Miami Firm Over Compliance Lapses

Rihem Akkouche -

October 14, 2025

Edward Jones $100K Fine

America

Edward Jones Fined $100K by Connecticut Regulator Over Excessive Commissions

Rihem Akkouche -

October 10, 2025

FINRA Fines Apex Clearing $3.2M

America

FINRA Fines Apex Clearing $3.2M Over Securities Lending Violations

Rihem Akkouche -

February 5, 2025

America

First Republic $7M Settlement Reached in Fiduciary Breach Case

Rihem Akkouche -

July 12, 2024

$325K FINRA Allegations settlement

America

Thrivent Investment Management Inc. Settles FINRA Allegations for $325K

Rochdi Rais -

May 31, 2024

America

BofA Unit Fined $24M in Treasuries Spoofing Case

Rochdi Rais -

November 30, 2023

Robinhood discloses new regulatory investigations ahead of IPO

Business

Robinhood discloses new regulatory investigations ahead of IPO

Marivic Cabural Summers -

July 28, 2021

Interactive Brokers

Business

Interactive Brokers to pay $38M to settle with U.S. regulators

Marivic Cabural Summers -

August 11, 2020

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