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Trump Media CEO Nunes says trading ‘anomalies’ are ‘growing even more severe’
Market Watch· 3 hours agoNunes, in the letter on Tuesday, said he had also asked Congress to “encourage” the Financial ...
James Schwartz on Financial Industry Regulatory Authority (FINRA) | JD Supra
JD Supra· 5 hours agoJD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This Privacy Policy describes how JD Supra ...
CEO of David Lerner faces Finra investigation over product sales - InvestmentNews
InvestmentNews· 7 hours agoMartin Walcoe, the CEO and president of David Lerner Associates Inc., is the latest senior executive...
Trump Media asks Nasdaq to cooperate with investigations into trading of its shares
MSN News· 4 hours ago(Reuters) - The company that owns Donald Trump's social media platform Truth Social said on Tuesday...
FINRA Emphasizes the Responsibility of All Dispute Resolution Participants to Avoid Disclosure of...
JD Supra· 2 days agoThe Financial Industry Regulatory Authority (FINRA) published guidance* to remind parties, attorneys, arbitrators, ...
FINRA's New Home Office Rules Are Causing Headaches for BDs | ThinkAdvisor
ThinkAdvisor· 5 days agoThe Financial Industry Regulatory Authority’s new Residential Supervisory Location rule, which takes...
FINRA Fines Thrivent $325K Over Forged E-Signatures | ThinkAdvisor
ThinkAdvisor· 7 days agoThe Financial Industry Regulatory Authority has censured and fined Thrivent Investment Management $325,000 for failing ...
Why Banks And Brokerage Firms May Be Ordering Workers To Return To The Office
Forbes· 2 days agoWall Street brokerage firms, such as Barclays, Citigroup and HSBC, are requiring thousands of...
Scilex reports suspected market manipulation to SEC By Investing.com
Investing.com· 5 days agoIn letters addressed to the U.S. Securities and Exchange Commission (SEC) and the Financial Industry...
Ex-Deutsche Bank Investment Banker Gets 3 Years for Fraud
Bloomberg via Yahoo Finance· 5 days ago(Bloomberg) -- A former Deutsche Bank AG investment banker was ordered to spend more than three...