Category: Dealer broker

New York Attorney General Letitia James. AP Photo/Brittany Newman) A cryptocurrency platform thought the rules didn’t apply to it, and it’s now being sued…

Firm Receives Fourth Consecutive Award DELRAY BEACH, FL /ACCESSWIRE/September 26, 2022/ InsperXSM Market-Linked Products, announced it was named Top US Broker-Distributor at the 2022…

Another day, another crypto scandal. The Southern District of New York has authorized the IRS to search the records of (should be) US taxpayers…

Posted By: Steff Chalk in 401k News, Benefits Committee, Case Law, Compensation, Distribution, Emergency Savings, Trustee, Financial…

After 35 years of brokerage for some of Australia’s and the UK’s biggest houses and investors, the Secret Broker regales Stockhead readers with his…

A broker-dealer paid SEC fees for operating as an unregistered municipal council firm in providing advice to a municipality regarding securities purchased with the…

On September 9, FINRA settled charges with a broker (respondent) for alleged breaches of its Anti-Money Laundering (AML) compliance program. According to the Acceptance,…

LEHI, UT, September 20, 2022 /PRNewswire/ — PCF Insurance Services (PCF), a top 20 U.S. insurance brokerage firm, has acquired Peak Performance Team (PPT),…

Brokers have lived in the convergence of wealth and retirement where most archivists and pension plan advisors are just entering it. However, the leaders…

The United States Securities and Exchange Commission (SEC) has filed suit against Chicago Crypto Capital LLC (CCC) and its senior members for suspected fraud…

Company owner Brian Amoah and two other staff were not registered as brokers Investors were charged undisclosed markups and were not told about financial…

A broker has paid FINRA fees for failing to report OTC options positions to the Large Options Position Reporting System (“LOPR”). In an acceptance,…

Key points to remember The DOL expanded its interpretation of fiduciary advice in the preamble to TEP 2020-02 and as a result many other…

NEW YORK–(BUSINESS WIRE)–A consortium of leading broker-dealers, global market makers and venture capital firms today announced the launch of EDX Markets (EDXM), a one-of-a-kind…

A broker-dealer has paid FINRA fees for AML program compliance, supervision, and communication record-keeping failures. In an Acceptance, Waiver, and Consent Letter, FINRA determined…

Acquisition will accelerate growth strategy NEW YORK, September 9, 2022 /PRNewswire/ — Dominari Financial, Inc., the financial services subsidiary of AIkido Pharma Inc., (NASDAQ:…

The Financial Industry Regulatory Authority Inc. last week fined another broker, this time wealth management aggregator Sanctuary Securities Inc., for negligently selling private placements…

Real estate brokerage is a successful business that offers flexible hours and the ability to interact with a wide range of people. In this…

A broker-dealer has settled FINRA fees for excessive client account trading, as well as missing red flags and failing to respond in a timely…

After 35 years of brokerage for some of Australia’s and the UK’s biggest houses and investors, the Secret Broker regales Stockhead readers with his…

The Financial Industry Regulatory Authority (Finra) has fined and sanctioned the Sanctuary Wealth Management broker for selling private equity funds run by an alternative…

The Financial Industry Regulatory Authority (Finra) has fined and sanctioned the Sanctuary Wealth Management broker for selling private equity funds run by an alternative…

PASADENA, Calif., September 8, 2022 /PRNewswire/ — ExchangeRight, a leading national provider of diversified DST and REIT real estate investments, announced that Melissa Birdsall…

Abu Dhabi: Klickl is the latest global virtual asset service provider to receive Financial Services Authorization (FSP) Approval-in-Principle (IPA) from Abu Dhabi Global Market…

By Ivan Moreno (September 2, 2022, 7:54 p.m. EDT) – A federal judge in Florida on Friday rejected a Bahamian broker’s bid to dismiss…

After 35 years of brokerage for some of Australia’s and the UK’s biggest houses and investors, the Secret Broker regales Stockhead readers with his…

On August 3, 2022, Securities and Exchange Commission (SEC) staff issued a Question-and-answer style newsletter focused on conflicts of interest under the Investment Advisers…

Direct feeds provide businesses with the most reliable, accurate, and secure way to collect and review employee transaction information. ComplySci currently provides access to…

A broker-dealer has settled parallel charges between NYSE Arca and NYSE American (“the exchanges”) for failing to “establish, document and maintain a risk management…

The Federal Trade Commission sued app analytics firm Kochava for selling sensitive geolocation data, including details that could unmask people seeking or performing abortions….

What to know about transitioning from a broker to an RIA Moving from a broker to an RIA means moving from a commission on…

After a chilly summer in the Canadian housing market, next fall could see some potential buyers wondering if now is the right time to…

The U.S. Federal Trade Commission (FTC) announced on Monday that it has filed a lawsuit against data broker Kochava Inc. for selling geolocation data…

I. SUMMARY The European Markets in Financial Instruments Directive II (“MiFID II”), which came into force on January 3, 2018, has raised concerns that…

KlaymanToskes investigates investments sold by Mark Cline GWG Holdings, Inc. (OTCMKTS: GWGHQ) THE VILLAGES, Florida, USA, Aug. 26, 2022 /EINPresswire.com/ — National investment fraud…

FTI Consulting experts advised a global broker in the orderly liquidation of its large equity business. Situation Following a review by its Board of…

The U.S. District Court for the Northern District of Georgia today issued a final consent judgment against Jonathan Dax Cooke, a former broker accused…

Can an Independent Broker/Trader Avoid Paying a Multi-Million Dollar FINRA Arbitration Award by Transferring Substantially All of Their Registered Representatives and Clients to Another…

Specializing in used high performance vessels primarily from Velocity Powerboats, Launch Broker Services is a newly licensed Sunshine State brokerage firm founded by Walt…

The Public Company Accounting Oversight Board said on Friday it found a high rate of deficiencies last year in companies doing broker audits similar…

By Eric Rubenfeld (August 17, 2022, 6:16 p.m. EDT) — Capital seekers — that is, people who are not registered brokers who connect potential…

NEWARK, NJ – A Monmouth County, New Jersey man was charged today with defrauding victims in an investment fraud scheme of at least $1…

What do you want to know The banned broker allegedly pressured its clients into buying inappropriate, high-commission insurance products. He was fired by MML…

I have always been fascinated by the world of forex trading. The foreign exchange market is the largest financial market in the world, by…

A California federal judge has authorized the Internal Revenue Service to issue a “John Doe” summons to crypto broker SFOX Inc and its affiliates….

Global Auto Insurance Broker market report gives a comprehensive overview of the sector, including qualitative and quantitative data. It provides a…

NEW DELHI (AP) — Last month, a cybersecurity startup told a major Indian online insurance broker that it had found critical vulnerabilities in the…

BANCOLOMBIA SA ANNOUNCES THE COMMENCEMENT OF ITS OPERATIONS AS A BROKER AND REGISTERED INVESTMENT ADVISOR IN THE UNITED STATES Bancolombia announces the commencement of…

Wide range While formally the Bulletin cannot and does not set forth legal rules beyond the existing requirements of Reg BI and the fiduciary…

The content of the CommonCentsMom.com website, such as text, graphics, images and other material contained on this site (“Content”) is for informational purposes only….

A struggling actress in Mumbai was allegedly sexually assaulted by a stock broker and trader detained at a hotel in West Mumbai. Jignesh Mehta,…

Jhe financial services (and wealth management) industry is in the midst of a digital revolution. When you look at where the industry was just…

The JCMR has released a new industry study that focuses on [Name] market and provides in-depth market analysis and future outlook of Global [Name]…

A broker-dealer has paid FINRA charges for failing to supervise a registered representative who engaged in improper and unauthorized trading in a client’s account….

“Given the current situation in the energy market, I believe that this flexibility will be extremely valuable for all energy market players in the…

The broker community’s latest earnings season ended on Tuesday, when LPL Financial announced its second-quarter earnings – which beat analysts’ estimates. “Amid continued market…

• Former FBI ‘bait’ claims 44,000 ‘stolen’ pages for SEC • Said the move violated Bahamas data protection law • Bahamas Chief Compliance Officer:…

Pamela Rachill discusses the benefits of mobile and manufactured homes and working with a licensed mobile home broker. Listen to the interview on the…

On July 27, 2022, the Securities and Exchange Commission (SEC) separately settled three enforcement actions with brokers and investment advisers for alleged breaches related…

By Rachel Scharf (July 29, 2022, 2:57 p.m. EDT) – Two former executives of GPB Capital Holdings LLC are not bound by an arbitration…

July 29 (Reuters) – Chris Jonns, one of the biggest brokers for dollar interest rate derivatives in the middleman market, has left TP ICAP…

After 35 years of brokerage for some of Australia’s and the UK’s biggest houses and investors, the Secret Broker regales Stockhead readers with his…

Image: Steffani Reynolds (Getty Images) Ford has some of the hottest cars on the market right now, sought-after electric vehicles like the Lightning F-150…

Goal: ₹3,363 CMP: ₹3,179.50 Asian Paints reported marginal quarter-on-quarter margin decline despite calibrated pricing and superior mix as 6% QoQ inflation impacted profitability despite…

I know that investments held by a brokerage firm are covered up to $1 million by the Canadian Investor Protection Fund in the event…

GHAZIABAD: A 38-year-old property dealer allegedly stabbed his banker wife multiple times, then slit her throat with a kitchen knife before attempting to kill…

After 35 years of brokerage for some of Australia’s and the UK’s biggest houses and investors, the Secret Broker regales Stockhead readers with his…

The handwritten poster said the resident would share the same fate as Kanhaiya Lal, the tailor who was axed to death in Udaipur. (Representative…

Alpacaa San Mateo, Calif.-based crypto and equity investment platform for companies ranging from startups to Fortune 500, has completed the acquisition of licensed Japanese…

SAN MATEO, Calif.–(BUSINESS WIRE)–Alpaca, a crypto and equity investment platform for businesses from startups to Fortune 500 companies, announced that it has completed the…

The New York Stock Exchange announced late Wednesday that it would delist shares of Kingswood Acquisition Corp., just days after the special purpose acquisition…

Doug Roth, a longtime member of Duncan Aviation’s aircraft sales and acquisition team, has been recognized by the International Aircraft Dealers Association (IADA) as…

After 35 years of brokerage for some of Australia’s and the UK’s biggest houses and investors, the Secret Broker regales Stockhead readers with his…

Data from the US derivatives regulator for May 2022 shows that IG US has overtaken Interactive Brokers in the ranking of US retail FX…

Acquisition of Kingswood , a special purpose acquisition company, is merging with Wentworth Management Services, in a deal to take the broker aggregator public….

USI Insurance Services LLC on Monday filed for expedited discovery in a non-competition lawsuit it filed against a former employee who formed his own…

Press Release Duncan Aviation | July 11, 2022 Estimated reading time 3 minutes, 22 seconds. Duncan Aviation is pleased to announce that Doug Roth,…

The Central Bank of Uruguay suspended two local brokers for failing to inform some of their clients that they had racked up nearly $100…

OTCGH’s portfolio includes nearly 20 of the strongest and most agile independent brokers in the industry across the world. Tweet that OTCGH has built…

Note from Brooke: I’m pretty sure PG Wodehouse could hardly think of a better name for a brokerage than Boenning & Scattergood [B&S]. Jeeves…

Boenning & Scattergood is a broker/dealer and RIA employing approximately 40 advisers serving approximately $5 billion in client assets SAN DIEGO – July 8,…

GWG Holdings Inc. GWG investors should contact the national investment fraud law firm, Haselkorn & Thibaut, to help recover losses from GWG Holdings. PALM…

On June 23, 2022, FINRA’s Enforcement Department announced a settlement in which a broker-dealer agreed to pay $3.6 million in fines, $4.77 million in…

Financial advisors aren’t getting any younger and wealth management firms are struggling to manage attrition and attract new talent, according to the JD Power…

The SEC continues to focus some of its enforcement attention on registrant obligations for anti-money laundering (AML) compliance and transaction monitoring. In this article,…

San Francisco, July 6: Leading cryptocurrency broker Voyager Digital filed for bankruptcy in the US on Wednesday, after leading crypto hedge fund Three Arrows…

The SEC continues to focus some of its enforcement attention on registrant obligations for anti-money laundering (AML) compliance and transaction monitoring. In this article,…

On June 23, 2022, FINRA’s Enforcement Department announced a settlement in which a broker-dealer agreed to pay $3.6 million in fines, $4.77 million in…

NEW YORK, July 05 10, 2022 (GLOBE NEWSWIRE) — Roberts & Ryan Investments, Inc., Wall Street’s premier broker-dealer owned by disabled veterans (SDVO), celebrates…

the herald business journalistThe Victoria Falls Stock Exchange Limited (VFEX), a subsidiary of the Zimbabwe Stock Exchange (ZSE), has introduced broker-controlled accounts to ensure…

Wealthcare Advisory Partners LLC increased its stake in the shares of iShares US Broker-Dealers & Securities Exchanges ETF (NYSEARCA:IAI – Get Rating) by 11.7%…

This is the difficult part. The shock of being in a bear market fades quickly. Some things explode and the losses are not evenly…

Editorial Note: We earn a commission on partner links on Forbes Advisor. Commissions do not affect the opinions or ratings of our editors. Although…

On June 15, 2022, the Securities and Exchange Commission (“SEC”) filed a complaint against California-based broker Western International Securities, Inc. (“Western”) alleging violations of…

The stock prices of the largest publicly traded brokers and financial companies are generally heading in a negative direction due to strong forecasts of…

The U.S. Securities and Exchange Commission recently charged a broker and five of its registered representatives with violating Best Interest (“Reg. BI”) regulations related…

This designation reinforces the company’s position as a leader in equity securities in the technology sector, providing liquidity and a commitment to transparency and…

Crypto broker Voyager Digital said hedge fund Three Arrows Capital defaulted after it failed to make loan payments related to large digital currency bets….

In March 2020 alone, Starberry executed over 12,500 NYMEX WTI trades, which generated over $86 million in profit for the overseas client and $1,376,206.81…

After 35 years of brokerage for some of Australia’s and the UK’s biggest houses and investors, the Secret Broker regales Stockhead readers with his…