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finra hits webull with $3m fine for permitting unqualified options traders

The Financial Industry Regulatory Authority (FINRA) has slammed a $3 million fine on security broker Webull for onboarding unqualified options trad...

March 9, 2023, 9:32 pm

Why amc stock has been on the ‘threshold list' for weeks

According to AMC Entertainment (NYSE: AMC ) CEO Adam Aron, AMC stock has been on the New York Stock Exchange's threshold securities list for over thre...

March 9, 2023, 10:54 am

Yasheng group notifies finra of plan to pay preferred dividend to common shareholders

Begins Raising Capital for our Subsidiary, Jove Pharmaceutics In Order to Bring Next Generation Cancer Curing Cell Therapeutics to Market San Jose, CA...

March 1, 2023, 11:00 am

Schwab fined $144,000 over etf advice

finra awards client who claimed advisor's bad investment advice caused $500,000 loss....

February 28, 2023, 7:00 am

Crypto bank silvergate is now the second-most shorted stock in the us

Silvergate Capital (SI), one of the vital banking pillars in the crypto ecosystem, has reported 72.50% of the volume of its shares shorted to FINRA....

February 15, 2023, 10:39 pm

finra hits sagetrader with new $100k fine for aml failure

The Financial Industry Regulatory Authority (FINRA) has hit California-based securities broker, SageTrader, with a censure order and fine of $100,0...

February 8, 2023, 8:31 pm

finra slams $475k fine on ubs securities—second in 4 months

The Financial Industry Regulatory Authority (FINRA) has slammed another fine on New York-based securities broker, UBS Securities (UBS-S). This time...

February 6, 2023, 4:41 pm

State street is doubling down on meta materials (mmat) stock

Meta Materials (NASDAQ: MMAT ) stock is down about 15% year-to-date (YTD), although a major financial institution recently reported purchasing shares ...

February 6, 2023, 12:42 pm

Finra’s head of enforcement, jessica hopper, to exit after 18 years

Jessica Hoppers, the Head of Enforcement of the Financial Industry Regulatory Authority (FINRA), a non-profit body that regulates brokerages that s...

January 24, 2023, 10:13 pm

finra fines bgc financial $175k for trace reporting errors

Financial Industry Regulatory Authority (FINRA) has slapped a fine of $175,000 on BGC Financial, along with a censure order, for the rules ...

January 23, 2023, 8:53 am

finra fines nomura securites $125k for miscalculating its net capital

The Financial Industry Regulatory Authority (FINRA) has hit Nomura Securities International, an institutional ...

January 16, 2023, 5:50 pm

5 investors betting big on meta materials (mmat) stock in 2023

It's been about a month since the Financial Industry Regulatory Authority (FINRA) decided to suspend shares of Meta Materials Preferred Shares ( MMTLP...

January 11, 2023, 2:49 pm

finra fines justly markets $100k for missing records of 95m orders

The Financial Industry Regulatory Authority (FINRA) has placed a $100,000 monetary sanction on Justly Markets ...

December 29, 2022, 9:28 pm

Global tech industries group: a lot happening, but i'm still bearish

In October, finra launched an inquiry into the lowering of the strike price of the company's warrants. ...

December 23, 2022, 5:41 pm

finra fines wells fargo $200k for overstating trade volume

The Financial Industry Regulatory Authority (FINRA) has impos...

December 23, 2022, 8:08 am

Two equity bankers lose their morgan stanley broker licenses -regulator

Two Morgan Stanley equity syndicate bankers, Pawan Passi and Charles Leisure, are no longer listed as registered brokers at the Wall Street firm, acco...

December 20, 2022, 11:05 pm

Is meta materials (mmtlp) stock getting deleted today?

Last Friday, the Financial Industry Regulatory Authority (FINRA) announced that it would halt trading of Meta Materials Preferred Shares (OTCMKTS: MMT...

December 13, 2022, 10:54 am

finra slams $165k fine on instinet for data inaccuracy, poor supervision

The Financial Industry Regulatory Authority (FINRA) has hit institutional agency-model broker, Instinet Incorporated, with a cens...

December 12, 2022, 8:09 pm

Insider thomas welch just sold meta materials (mmat) stock

Shares of Meta Materials (NASDAQ: MMAT ) have been in full focus in recent days due to the suspension of trading of Meta Materials Preferred Shares (...

December 12, 2022, 4:34 pm

Investors petition for finra to reinstate mmtlp stock trading after halt

It's been several days since the Financial Industry Regulatory Authority (FINRA) suspended the trading of Meta Materials Preferred Shares (OTCMKTS: MM...

December 12, 2022, 2:54 pm


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