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Saxo Bank volumes rebound in April 2024 led by record Equities and Commodities trading

Interactive Brokers launches daily options on the CAC 40 Index

Singapore MAS adds Transport minister Chee Hong Tat to its BoD

Komainu adds Paul Frost Smith as co-CEO alongside Robert Johnson

CFI advances into South Africa with new FSCA license

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FINRA imposes $5.5M fine on LPL Financial

Maria Nikolova featured, FINRA, LPL Financial 0 Comments December 28, 2023

LPL Financial LLC has agreed to pay a $5.5 million fine as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).

fingerprint

FINRA News/ Regulatory News

FINRA imposes $6.5M fine on LPL Financial

Maria Nikolova LPL, LPL Financial, LPL fine 0 Comments January 4, 2021

LPL Financial has agreed to pay $6.5 million fine as a part of a settlement with FINRA concerning fingerprinting and screening of associated persons.

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Saxo Bank volumes rebound in April 2024 led by record Equities and Commodities trading
May 3, 2024
Interactive Brokers launches daily options on the CAC 40 Index
May 2, 2024
Singapore MAS adds Transport minister Chee Hong Tat to its BoD
May 2, 2024
Komainu adds Paul Frost Smith as co-CEO alongside Robert Johnson
May 2, 2024
CFI advances into South Africa with new FSCA license
May 2, 2024

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