By Kyle Brasseur2023-12-27T18:24:00
Electronic trading platform Interactive Brokers received a $3.5 million penalty from the Financial Industry Regulatory Authority (FINRA) for multiple alleged violations of the self-regulatory organization’s rules regarding execution and supervision.
FINRA’s disciplinary action published Dec. 22 cited Interactive Brokers for rule violations ranging from January 2014 to February 2023. The firm neither admitted nor denied FINRA’s findings in resolving the matter.
At varying times during the relevant period, Interactive Brokers allegedly failed to:
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The Financial Industry Regulatory Authority fined Goldman Sachs $512,500 for allegedly failing to properly surveil certain types of securities for potential manipulative trading activity for more than a decade.
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Wells Fargo Securities agreed to pay a $425,000 penalty as part of a settlement with the Financial Industry Regulatory Authority addressing allegations of disclosure lapses affecting millions of trade confirmations and related supervisory failures.
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A new report from the Financial Industry Regulatory Authority provides observations from examiners on emerging issues affecting the industry, including surveilling potential use of off-channel communications by employees, crypto-asset developments, cybersecurity trends, and more.
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Two major health insurance brokers will pay a combined $145 million to resolve Federal Trade Commission allegations that they misled millions of consumers and mishandled personal data, the agency announced Thursday.
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The owners of cryptocurrency mixing service Samourai Wallet pleaded guilty to transmitting more than $200 million in criminal transactions, according to the Department of Justice.
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Late payers will soon face much larger fines in the U.K. in what is promised to be the “toughest crackdown on late payments in a generation.” The scheme is intended to save the 38 businesses a day that go bust because of poor payment practices.
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