You Searched For "FINRA" and got 20 results
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2 mins read
Regulators are taking steps to increase oversight of retail investors' ability to make risky options bets
"Retail investors may be opening accounts to trade options and other complex leveraged products wit…
Natasha Dailey
2 mins read
Robinhood gets slapped with FINRA's largest-ever fine to settle allegations of misleading customers and causing 'significant harm' to millions
FINRA said Robinhood misled millions of customers, approved ineligible traders for risky strategies…
Emily Graffeo
5 mins read
FINRA: The organization that regulates broker-dealers and protects investors
FINRA monitors daily market functions, handles customer complaints, and maintains a library of educ…
Lauren Perez
2 mins read
Robinhood is facing a corporate backlash against its free stock program and regulators are circling
FINRA is coming under increasing pressure to adopt a rule stopping brokers from seeking compensatio…
Ethan Wu
2 mins read
Robinhood slips 10% after warning that a crypto-driven revenue bump could soon fade
Cryptocurrency trading revenue in the second quarter increased to $233 million, compared to $5 mill…
Isabelle Lee
1 min read
Robinhood says it's under new investigation by FINRA days before its IPO
The agency is seeking information related to the fact that Robinhood CEO Vlad Tenev and co-founder …
Emily Graffeo
1 min read
Robinhood's IPO filing reveals over 50 lawsuits related to trading restrictions it imposed during January's meme-stock madness
Robinhood said the complaints allege breach of contract and negligence, among other claims.
Carla Mozée
2 mins read
The SEC will tackle bad actors in crypto and needs to be prepared to fight cases against them, Chair Gensler said
Chairman Gary Gensler said the SEC needs to be ready to fight legal crypto cases and that regulatio…
Sophie Kiderlin
2 mins read
Margin debt hit another record high in March to top $822 billion, according to FINRA data
FINRA margin debt rose 71% year-over-year to a record $822 billion in March as investors continue t…
Will Daniel
2 mins read
Former Bank of America analyst charged nearly $21,000 to his corporate card at an 'adult venue' and refused to pay it back, new complaint alleges
The employee said his card was stolen and that the charges were fraudulent, but a recorded phone ca…
Isabella Jibilian
3 mins read
Robinhood under investigation by SEC, FINRA for handling of day-long March outage, report says
Robinhood's trading platform was out of service through all of March 2, leaving investors unable to…
Ben Winck
2 mins read
FINRA fines more than doubled in 2014 from 2013
Doubleline Funds announced the launch of its SPDR DoubleLine Total Return Tactical exchange-traded …
Jonathan Garber
1 min read
FINRA Trash-Talks Bitcoin In A Scary Investor Alert
Bitcoin use is limited to businesses and individuals that are willing to accept bitcoins. If no one…
Dylan Love
3 mins read
FINRA fined Scottrade $2.6 million because they didn't save 168 million emails
"While news of China's market ups and downs makes for splashy headlines, we expect the impact of re…
3 mins read
Brokerage CEO Accused Of Spending $590K Of The Firm's Money On Firearms, Tattoos And Petcare
FINRA also alleges that Carris and JCI fraudulently sold stock and notes in its parent company, Inv…
Julia La Roche
1 min read
Citigroup Ordered To Pay The Pope's Legal Adviser $11 Million
The claim accused the firm of “breach of fiduciary duty, negligence and gross negligence, failure t…
Steven Perlberg
1 min read
Sorry Wall Street But Barring A Miracle, Your Boss Will Soon Be Able To Monitor Your Social Media Account
Securities regulators worry that the raft of new laws aimed at protecting employees' privacy puts i…
Rob Wile
2 mins read
Financial Regulator Accuses Brokerage CEO Of Threatening To Run Over People Who Disagreed With How He Does Business
Washington, D.C. — The Financial Industry Regulatory Authority (FINRA) announced today that it has …
Julia La Roche
2 mins read
Brokers Allegedly Guzzle Red Bull And Stand For 14 Hours At This Firm That's Under Investigation
Working from printed lists or index cards, junior brokers dial again and again as they hunt for pot…
Julia La Roche
3 mins read
FINANCIAL ADVISOR INSIGHTS: Brokers Are Using A New FINRA Rule To Their Advantage
"To benefit from global growth even more directly, investors can reduce their overall US allocatio…