The Financial Industry Regulatory Authority (FINRA) fined and suspended Timothy W. Leveroni, a broker with 46 years of experience, for allowing colleagues to falsify his signature on over 100 client documents at LPL Financial in Braintree, Massachusetts.
The Financial Industry Regulatory Authority (FINRA) in the United States has disclosed in an official report that approximately 70% of retail communications regarding cryptocurrencies breach its regulations against misleading claims.
The SEC claims the records were requested as part of at least 12 regulatory investigations; findings follow two previous orders settled by JP Morgan for failure to preserve records.
Potentially dozens of broker-dealers are set to be affected by the ruling; market opinion divided on decision.
The post Majority of prop trading firms obliged to join FINRA under expanded SEC rule appeared first on The TRADE.
The order from the Securities and Exchange Commission (SEC) asserted that over around ten years, Goldman made more than 22,000 deficient blue sheet submissions.
The post Goldman to pay $6 million in penalties to the SEC for providing deficient data appeared first on The TRADE.
As we usher in a new year, it’s a good time to reflect on the significance of planning for the future. Among the myriad of resolutions we set, one...
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