FINRA suspends former Transamerica rep for cryptocurrency activities
While registered through Transamerica, Marceliano Macias engaged in an outside business activity involving cryptocurrencies.
While registered through Transamerica, Marceliano Macias engaged in an outside business activity involving cryptocurrencies.
Tyler J.Forbes failed to observe high standards of commercial honor and just and equitable principles of trade by facilitating 194 instances of “spoofing.”
Despite their direct supervision of customer trading activity, two of SogoTrade’s APs did not have registrations with FINRA as Securities Traders.
FINRA fines Santander Investment Securities as all equity research reports SIS published from January 2016 to August 2019 omitted required disclosures.
In accordance with the FINRA rule change for Order Audit Trail System (OATS), Cboe Silexx will retire OATS reporting.
Garrett Scott Neubart marketed an AI company’s products and services to the clients of Deutsche Bank.
JP Morgan Clearing Corporation, now known as JP Morgan Securities LLC, has agreed to pay a $300,000 fine as a part of a settlement with FINRA.
Former Managing Director, Global Head of Rates Quantitative Analytics at UBS Securities gets suspended for sharing confidential information.
Dough allowed an individual to operate as a principal despite the firm knowing that the individual was not registered as a principal.
FINRA is looking at the non-registration status of Robinhood’s CEO Vlad Tenev and Mr. Bhatt.