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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

SG Americas settles charges over inaccurate blue sheet data submissions

Business

SG Americas settles charges over inaccurate blue sheet data submissions

Marivic Cabural Summers -

June 24, 2020

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