Firm failed to provide clients best execution in 22,000 transactions
Regulator alleges firm failed to allocate sufficient resources to ensure appropriate risk management controls
Two industry governors, two public governors join to FINRA board
“Pump and dump” scammers looking to capitalize on fears of a potential pandemic
Seidt stresses the importance of maintaining the integrity of CRD data
Client settlements can’t force a clean record
Review to consider possible enhancements improve transparency, impartiality, and efficiency
Firm ordered to pay restitution to clients for fund overcharges
Barclays, Goldman Sachs and Merrill Lynch fined for providing incomplete trading data
The goal is to increase market transparency and thereby enhance investor confidence
aHR0cHM6Ly93d3cuaW52ZXN0bWVudGV4ZWN1dGl2ZS5jb20vcG9zdF9jb21wYW55L2ZpbmFuY2lhbC1pbmR1c3RyeS1yZWd1bGF0b3J5LWF1dGhvcml0eS9wYWdlLzI1Lw(U2NyZWVuSGVpZ2h0)NzIw(U2NyZWVuV2lkdGg)MTI4MA(T0ZTWVNfUmVmZXJyZXI)(dmlzaXRvcktleQ)SFJNV0xEeHE(dmlzaXRLZXk)Qm9LN1QwTlA){kind=small}