Insights
November 10, 2020
The Financial Industry Regulatory Authority (“FINRA”) has censured and fined Apex Clearing Corporation for violations of Securities and Exchange Commission Rules. According to FINRA’s findings, Apex f...
November 4, 2020
The Financial Industry Regulatory Authority (“FINRA”) has barred Joseph Stone Capital, LLC representative Erik Pica following findings that Pica took a 76-year-old customer’s $200,000, and used the mo...
November 3, 2020
Recent Financial Industry Regulatory Authority (“ FINRA”) findings reveal that Two Sigma Securities, LLC failed to comply with the Locate Requirement of Rule 203(b)(1) of Regulation SHO pu...
October 30, 2020
Moors & Cabot, Inc. has been fined by the Financial Industry Regulatory Authority (“FINRA”) for failing to provide written disclosure to customers of around $7.5 million of compensatio...
October 23, 2020
Concorde Investment Services, LLC and its Chief Compliance Officer, Kimberlee Elizabeth Levy, were recently censured and fined by the Financial Industry Regulatory Authority (FINRA) for failing to rea...
October 22, 2020
Lek Securities Corporation was recently found by the Financial Industry Regulatory Authority (“FINRA”) to have failed in implementing Anti-Money Laundering (AML) policies and internal controls to dete...
October 20, 2020
On October 19, 2020, the Financial Industry Regulatory Authority fined and suspended former broker of SagePoint Financial, Troy Robert Baily, for engaging in four undisclosed and unapproved private se...
October 14, 2020
Newport Coast Securities, Inc. was recently expelled from FINRA membership fined $403,000 and ordered to pay $853,617.04 plus interest to customers in restitution for excessively trading in and churni...
October 2, 2020
On September 22, 2020, an arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) made findings against Jason K. Williams (CRD#: 4676003) and entered an award against him exceeding...
September 28, 2020
The Financial Industry Regulatory Authority (FINRA) has expelled Sandlapper Securities, LLC , from the securities industry based on FINRA findings that the firm willfully defrauded investors by chargi...
September 11, 2020
The Securities and Exchange Commission, the Financial Industry Regulatory Authority (FINRA) and the Commodity Futures Trading Commission (CFTC) have announced settlements with Interactive Brokers rela...
August 18, 2020
The Financial Industry Regulatory Authority (“FINRA”) has fined and sanctioned SagePoint Financial, Inc. for failing to supervise early rollovers in Unit Investment Trusts (“UITs”). A Unit Investment ...
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