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Tag: FINRA

News
Regulation, enforcement & litigation
"It’s unconscionable that FINRA would stack the deck against American investors", says PIABA, the plaintiff attorney association. A judge has excoriated FINRA for having helped Wells Fargo...
Crypto
News
The Cybercriminal underground community has a regulating authority! It uses disciplinary procedures to reduce the risk for the overall community. ...
Derivatives
Investments & markets
UBS got flack for recommending VIX ETFs to its clients. This suitability case has in fact deep roots in a significant ETF classification challenge: many product...
News
Regulation, enforcement & litigation
FINRA slapped its largest penalty eve, $70m, to Robinhood for numerous and shocking failings. That fine will raise the firm's IPO price....
News
Regulation, enforcement & litigation
The billionaire matriarch of the Schottenstein family was being taken advantage by her own two grandsons. So grandma ate the wolves.She brought her two JP Morgan...