Insights
November 17, 2020
The Financial Industry Regulatory Authority (“FINRA”) has barred Dee Dee Brooks, of Sarasota, Florida, based on findings that, while acting as an agent of Signator Investors, Inc., Brooks engaged in p...
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 31, 2020
BNP Paribas Securities Corporation was recently fined for failing to create or maintain a risk management system of controls or procedures to handle the financial risks of its market access business a...
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 26, 2020
According to the Consumer Financial Protection Bureau’s (CFPB) Consumer Complaint Database , the popular investing and trading platform Robinhood Markets, Inc. (“Robinhood”) received fifty-nine (59) c...
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 21, 2020
The value of New York City REIT, Inc. has tanked since its public listing in August 2020. According to Investment News , some investors have suffered losses as high as 80% from its initial sales price...
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 16, 2020
Morgan Stanley Smith Barney LLC was recently sanctioned for failing to reasonably supervise a representative for recommending short-term trades of corporate bonds and preferred securities for ten cust...
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