Regulations

North American Regulation

N

FINRA Fines J.P. Morgan Securities $140,000

In Central American Regulation, North American Regulation, Regulated

134 views

F

FINRA Fines Wells Fargo Clearing Services $1.25 million

In North American Regulation, Regulated

204 views

F

FINRA fines Independent Financial Group $100k

In Central American Regulation, North American Regulation, Revoke Suspended Licence

266 views

F

CME Group Fines JPMorgan Securities for Rule Violations

In Market Maker, North American Regulation, Regulated

319 views

C

FINRA Fines Alexander Investment Services for Alleged Violations

In North American Regulation

341 views

F

FINRA Fines National Bank of Canada for alleged Financial Statement Inaccuracies

In North American Regulation, Regulated

291 views

F

FINRA Fines Interactive Brokers $125,000 for Alleged Violations

In Central American Regulation, Market Maker, North American Regulation, Regulated

266 views

F

NFA Fines Marex Spectron International Limited USD 250,000

In North American Regulation, Regulated, STP Broker, UK Regulated

1,057 views

N

Dutch Antitrust Authority Investigates whether Apple Has already Complied with its Order

In European Securities and Markets Authority, North American Regulation, Technology

1,055 views

D

FINRA fines E*TRADE USD 350,000 for Lack of Monitoring Procedures

In North American Regulation, Regulated

1,600 views

F