The core of the problem stemmed from UBS FSI's use of its Trade Allocation and Processing System (TAPS). The system handled ...

An ex– Morgan Stanley financial advisor has been barred from the industry for failing to cooperate with a regulatory investigation of the circumstances surrounding his departure from the wirehouse.

A three-person Finra Dispute Resolution Services panel the day after Christmas awarded a Wells Fargo Advisors client $3.4 ...

To achieve success on the FINRA exam, it is essential to dedicate the necessary time and effort to studying intelligently and ...

Both sides, the firms as well as the regulators, want to clean up their books going into the new year,” one executive said.

In accordance with AI Fund methodology, Grayscale has adjusted AI Fund’s portfolio by selling existing Fund Components in proportion to their respective weightings, and using the cash proceeds to ...

Capstone Green Energy Holdings, Inc. is the public successor to Capstone Green Energy Corporation (CGRN) for SEC reporting purposes. The CUSIP number for the Company's common stock that is now traded ...

While the system monitored equity trades, it did not cover these specific products. As a result, more than 20,000 customer accounts circumvented full cash payments, engaging in trades without ...

WEST DES MOINES, Iowa, Jan. 08, 2025 (GLOBE NEWSWIRE) -- GuideOne Insurance announces the appointment of Wei Huang to its board of directors. Huang, who serves as the senior vice president and senior ...

A Finra arbitration panel has rebuffed J.P. Morgan Securities’ request for $39.8 million in damages against one of its former advisors, a Texan whose clients sought some $140 million in damages after ...

The investigation, which spanned four years and involved 14 state regulators, revolved around how the firm supervised the ...