Tagged With FINRA

Former Bank of America analyst charged nearly $21,000 to his corporate card at an 'adult venue' and refused to pay it back, new complaint alleges

Robinhood under investigation by SEC, FINRA for handling of day-long March outage, report says

Angry Robinhood users say they missed out on making thousands during the stock-trading app's outages, but a big class-action suit is unlikely

Robinhood just got fined $1.25 million by its regulator for how it executed trades — and it highlights the issues that can arise with payment for order flow

Robinhood's 'infinite money' glitch has reportedly drawn regulatory scrutiny — and the company could be fined

A division of Citigroup hired 3 criminals because of lax background checks

Meet the wealth firm that proudly hires brokers with checkered pasts — from hot-dog thieves to serial email deleters

US finance watchdog warns investors: 'Beware virtual currency pump-and-dump schemes'

Deutsche Bank got fined for literally broadcasting confidential information over loudspeakers

How a successful investment banker used insider information to bankroll his mistress and child

The wealth manager who had an affair with a client and could cost Morgan Stanley $400 million has vanished from their website

A Morgan Stanley wealth manager's affair with a client could cost the bank $400 million

Brokerage CEO Accused Of Spending $US590K Of The Firm's Money On Firearms, Tattoos And Petcare

Citigroup Ordered To Pay The Pope's Legal Adviser $US11 Million

Sorry Wall Street But Barring A Miracle, You're Boss Will Soon Be Able To Monitor Your Social Media Account

Financial Regulator Accuses Brokerage CEO Of Threatening To Run Over People Who Disagreed With How He Does Business

Brokers Allegedly Guzzle Red Bull And Stand For 14 Hours At This Firm That's Under Investigation

FINRA Is Suing A mum And Her Kids For Allegedly Taking 64 Of Its Tests To Memorize The Questions

A Wall Streeter Was Arrested For Allegedly Breaking Into A Pharmacy Wearing A 'Mr. T' Mask

Here's More Evidence That Men Dominate Women In Finances