FINRA
May
31
2024
Ex-Investment Banker and Registered Broker Busted in $1,500,000 Crypto Fraud Scheme: DOJ
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A former investment banker and registered broker has been sentenced… More…
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May
22
2024
US lawmakers demand SEC-FINRA records on Prometheum ETH custody
Prometheum’s willingness to play along with the SEC’s ambitions … More…
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May
11
2024
Wells Fargo Employee Sanctioned After Allegedly Stealing Funds From Customers, Refusing To Cooperate With Investigation
The Financial Industry Regulatory Authority (FINRA) is barring … More…
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May
02
2024
TradFi Veterans Pitch Tokenized Asset Marketplace With Eyes on U.S. Regulatory Approval
Ironlight, helmed by the former global head of trading of Schroeder… More…
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Apr
14
2024
JPMorgan Chase To Pay $250,000 for Defaming Former Employee As Regulator Orders Bank To Eliminate Series of Allegations
The Financial Industry Regulatory Authority (FINRA) is ordering… More…
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Feb
10
2024
US Regulator Slaps $512,500 Fine on Goldman Sachs, Says Bank Failed to Identify Potential Market Manipulation
One of the largest investment banks in the world will pay over half … More…
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Jan
23
2024
FINRA finds violations in 70% of crypto asset public communications reviewed
The U.S. regulator launched the review on crypto-related public … More…
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Jan
23
2024
FINRA finds violations in 70% of crypto asset public communications reviewed
The U.S. regulator launched the review on crypto-related public … More…
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Dec
22
2023
Prometheum Secures FINRA Approval for Digital Asset Securities Clearing Services
Prometheum, a digital asset firm, has received a significant regulatory… More…
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Aug
16
2023
Lawmakers Probe SEC and FINRA Over ‘Shady Approval’ of Prometheum
U.S. lawmakers are probing the Securities and Exchange Commission… More…
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