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FINRA $650K broker fine
America

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

Rihem Akkouche -
0
Edward Jones $100K Fine
America

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

Rihem Akkouche -
0
FINRA Fines Apex Clearing $3.2M
America

FINRA Fines Apex Clearing $3.2M Over Securities Lending Violations

Rihem Akkouche -
0
first republic $7m settlement
America

First Republic $7M Settlement Reached in Fiduciary Breach Case

Rihem Akkouche -
0
$325K FINRA Allegations settlement
America

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

Rochdi Rais -
0
BofA Unit Fined $24M in Treasuries Spoofing Case
America

BofA Unit Fined $24M in Treasuries Spoofing Case

Rochdi Rais -
0
Robinhood discloses new regulatory investigations ahead of IPO
Business

Robinhood discloses new regulatory investigations ahead of IPO

Marivic Cabural Summers -
0
Interactive Brokers
Business

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

Marivic Cabural Summers -
0
SG Americas settles charges over inaccurate blue sheet data submissions
Business

SG Americas settles charges over inaccurate blue sheet data submissions

Marivic Cabural Summers -
0
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