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 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 October 10, 2025
Edward Jones Fined $100K by Connecticut Regulator Over Excessive Commissions
Edward D. Jones & Co. LP has agreed to pay a $100,000 fine and roughly $73,000 in restitution to settle…
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 July 12, 2024
First Republic $7M Settlement Reached in Fiduciary Breach Case
A philanthropist couple has reached an agreement to resolve their $7 million breach of fiduciary duty allegations against the now-failed…
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 November 30, 2023
BofA Unit Fined $24M in Treasuries Spoofing Case
In a decisive move by the Financial Industry Regulatory Authority (FINRA), Bank of America’s securities unit, BofA Securities Inc., has…
Business July 28, 2021
Robinhood discloses new regulatory investigations ahead of IPO
Robinhood Markets Inc, the online trading platform operator, is facing new regulatory investigations ahead of its initial public offering (IPO)…
Business August 11, 2020
Interactive Brokers to pay $38M to settle with U.S. regulators
Interactive Brokers, a registered broker-dealer, agreed to pay a total of $38 million in penalties to settle the charges filed…
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