scorecard

You Searched For "FINRA" and got 20 results


Sort By:


Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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…

Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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   


Business Insider Latest Story Image
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…

Mamta Badkar