On August 22, FINRA accepted a Letter of Acceptance, Waiver, and Consent (AWC) from a broker-dealer member firm regarding its alleged failure to establish and implement policies and procedures ...
TradeStation Securities agreed to an $85,000 penalty, according to the FINRA order. The firm agreed to FINRA’s findings in the matter without admission or denial, and a spokesperson for TradeStation ...
We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
FINRA, which regulates the brokerage industry, has been focused on firms and their use of social media for several years. And in 2024, the regulator hit another online brokerage firm, M1 Finance, with ...
In August 2025, a broker-dealer settled an enforcement proceeding brought by FINRA regarding the broker-dealer firm’s alleged failure to apply mutual fund sales charge waivers and fee rebates.
The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, the latest effort by a regulator to crack down on pump-and-dump schemes.
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