FINRA

Latest articles

2d
Zero Hedge
Crypto Scam, The Crypto Company, Collapses on Non-Existent VolumeMr. Poutre entered into a Letter of Acceptance, Waiver and Consent (AWC) with t
Zero Hedge / Posted 2 days ago
Mr. Poutre entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) relating to alleged rule violations while he was associated with Maxx Trade, Inc. (Maxx Trade). The AWC set forth... Read more
3d
The Register
Four hybrid clouds, three server SANs, two snapshotters... and a partridge in a pear treeSystem. It protects data in-place from deletion or modification as required fo
The Register / Posted 3 days ago
System. It protects data in-place from deletion or modification as required for regulations like SEC Rule 17a-4(f) and FINRA (Rule 4511). Users can take a policy-based approach to data security, access, compliance and the data lifecycle... Read more
4d
The Herald News
A plan for digital asset planningfor any individual. John Napolitano is a registered principal with and securiti
The Herald News / Posted 4 days ago
for any individual. John Napolitano is a registered principal with and securities offered through LPL Financial, Member FINRA/SIPC. Investment advice offered through US Financial Advisors, a Registered Investment Advisor. US Financial Advisors... Read more
6d
The Hill
Financial regulator's conflicts of interest are a serious concernhas not been important for public representatives at the quasi-governmental Fin
The Hill / Posted 6 days ago
has not been important for public representatives at the quasi-governmental Financial Industry Regulatory Authority (FINRA). Some of these individuals now have incentive compensation plans from financial services firms. ADVERTISEMENT Sadly,... Read more
6d
Bizjournals
Local stockbroker caught up in $2.35M Ponzi schemeparticular – to remain skeptical of investments that sound too good to be true.
Bizjournals / Posted 6 days ago
particular – to remain skeptical of investments that sound too good to be true.’’ Financial Industry Regulatory Authority (FINRA), the agency that licenses and regulates stockbrokers and brokerage firms, permanently barred Smith from the securities... Read more
6d
Business Wire
Clough Global Opportunities Fund Declares a Monthly Cash Distribution of $0.1018 Per Sharethat could affect actual results to differ from these statements include, among
Business Wire / Posted 6 days ago
that could affect actual results to differ from these statements include, among other factors, material, negative changes to the asset class and the actual composition of the portfolio. ALPS Portfolio Solutions Distributor, Inc, FINRA Member... Read more
5 related articles
6d
Business Wire
Clough Global Equity Fund Declares a Monthly Cash Distribution of $0.1223 Per Sharethat could affect actual results to differ from these statements include, among
Business Wire / Posted 6 days ago
that could affect actual results to differ from these statements include, among other factors, material, negative changes to the asset class and the actual composition of the portfolio. ALPS Portfolio Solutions Distributor, Inc, FINRA Member... Read more
5 related articles
6d
Business Wire
Clough Global Dividend and Income Fund Declares a Monthly Cash Distribution of $0.1241 Per Sharethat could affect actual results to differ from these statements include, among
Business Wire / Posted 6 days ago
that could affect actual results to differ from these statements include, among other factors, material, negative changes to the asset class and the actual composition of the portfolio. ALPS Portfolio Solutions Distributor, Inc, FINRA Member... Read more
5 related articles
6d
KOMU Columbia
Allowed or illegal? Greitens' use of private messaging app raises questionssaid, there are some people for whom some of their communication may be regulat
KOMU Columbia / Posted 6 days ago
said, there are some people for whom some of their communication may be regulated or restricted - maybe, for example, by FINRA or the President Records Act. For those people, it is critically important that, in those instances, they use Confide... Read more
5 related articles
7d
Business Wire
Piper Jaffray Broadens Technology Equity Research with Addition of Harsh KumarSecurities brokerage and investment banking services are offered in the U.S. th
Business Wire / Posted 7 days ago
Securities brokerage and investment banking services are offered in the U.S. through Piper Jaffray & Co., member SIPC and FINRA; in Europe through Piper Jaffray Ltd., authorized and regulated by the U.K. Financial Conduct Authority; and in Hong... Read more
7d
Business Wire
HilltopSecurities Public Finance Clients Win Regional Deal of the Year Awardsbeen included in their Rising Stars program. About Hilltop Securities Inc. Hi
Business Wire / Posted 7 days ago
been included in their Rising Stars program. About Hilltop Securities Inc. Hilltop Securities Inc., a member of NYSE, FINRA and SIPC, delivers the forthright advice and tailored solutions necessary for municipal issuers, institutions,... Read more
7d
citybizlist Dallas
New Harbor Capital Acquires LGM PharmaGenerational Equity Generational Equity, DealForce, and Generational Capital M
citybizlist Dallas / Posted 7 days ago
Generational Equity Generational Equity, DealForce, and Generational Capital Markets, member FINRA/SIPC, are part of the Generational Group, which is headquartered in Dallas and is one of the leading M&A advisory firms... Read more
8d
Business Wire
E*TRADE to Host Interactive Options Forumproducts and services to retail customers. Securities products and services are
Business Wire / Posted 8 days ago
products and services to retail customers. Securities products and services are offered by E*TRADE Securities LLC (Member FINRA/SIPC). Commodity futures and options on futures products and services are offered by E*TRADE Futures LLC (Member NFA).... Read more
9d
Business Wire
Cowen Announces Pricing of $120 Million Senior Notes OfferingManagement and its affiliates make up the Company's alternative investment segm
Business Wire / Posted 9 days ago
Management and its affiliates make up the Company's alternative investment segment, while Cowen and Company, a member of FINRA and SIPC, and its affiliates make up the Company's broker-dealer segment. Cowen Investment Management provides... Read more
4 related articles
10d
Business Wire
Kestra Financial Closes Acquisition of H. Beck, Inc.advisory services to their clients. Kestra Financial is the parent company of K
Business Wire / Posted 10 days ago
advisory services to their clients. Kestra Financial is the parent company of Kestra Investment Services, LLC, member FINRA/SIPC, and also of Kestra Advisory Services, LLC; Kestra Private Wealth Services, LLC; and Kestra Institutional... Read more
10d
techcentral.ie
AWS pushes into cybersecurity marketrelease announcing Amazon GuardDuty is the rapid user adoption from large enter
techcentral.ie / Posted 10 days ago
release announcing Amazon GuardDuty is the rapid user adoption from large enterprise customers, including GE, Netflix, FINRA and Autodesk. The implication is clear, AWS is pulling up a seat to the CISO’s desk at Fortune 500 and Global 2000... Read more
13d
Business Wire
Several Nuveen Closed-End Funds Declare Capital Gainsthrough a wide array of vehicles and customized strategies. For more informatio
Business Wire / Posted 13 days ago
through a wide array of vehicles and customized strategies. For more information, please visit www.nuveen.com. The information contained on the Nuveen website is not a part of this press release. Nuveen Securities, LLC, member FINRA... Read more
20 related articles
13d
Business Wire
Nuveen Closed-End Funds Declare Distributionsinformation contained on the Nuveen website is not a part of this press release
Business Wire / Posted 13 days ago
information contained on the Nuveen website is not a part of this press release. Nuveen Securities, LLC, member FINRA and SIPC. * Nuveen does not provide tax advice; consult a professional tax advisor regarding your specific tax... Read more
20 related articles
13d
Business Wire
Nuveen Real Estate Income Fund Declares Distributioninformation contained on the Nuveen website is not a part of this press release
Business Wire / Posted 13 days ago
information contained on the Nuveen website is not a part of this press release. Nuveen Securities, LLC, member FINRA and SIPC. * Nuveen does not provide tax advice; consult a professional tax advisor regarding your specific tax... Read more
20 related articles
13d
Business Wire
Cambridge Announces Fifth Annual Jim Guy Memorial ScholarshipsAdvisors, Inc. – a large corporate RIA; and Cambridge Investment Research, Inc.
Business Wire / Posted 13 days ago
Advisors, Inc. – a large corporate RIA; and Cambridge Investment Research, Inc. – an independent broker-dealer, member FINRA/SIPC, that is among the largest privately-controlled independent broker-dealers in the country. Overall, Cambridge... Read more
13d
citybizlist Dallas
Panelists at the Commerce Street Investment Conference Advise Focusing on Fundamentals When Investing in an Unpredictable Climateacross the United States since 2007. CSH is comprised of the following entities
citybizlist Dallas / Posted 13 days ago
across the United States since 2007. CSH is comprised of the following entities: Commerce Street Capital, LLC, (Member FINRA/SIPC) is a broker-dealer whose services include: Mergers & Acquisitions, Recapitalizations, Private Placement of Debt &... Read more
14d
Business Wire
NuShares ETFs Declare Distributionson the Nuveen website is not a part of this press release. Securities offered
Business Wire / Posted 14 days ago
on the Nuveen website is not a part of this press release. Securities offered through Nuveen Securities, LLC, member FINRA and SIPC. Investing involves risk; principal loss is possible. There is no guarantee the Funds’ investment objectives... Read more
20 related articles
14d
Business Wire
Clough Global Opportunities Fundpolicy is subject to modification by the Board of Trustees at any time. The dis
Business Wire / Posted 14 days ago
policy is subject to modification by the Board of Trustees at any time. The distribution rate should not be considered the dividend yield or total return on an investment in the Fund. ALPS Portfolio Solutions Distributor, Inc. FINRA Memb... Read more
20 related articles
14d
Business Wire
HFF Announces Sale of and Financing for 9-State 13-Property Courtyard Hotel Portfolioestate broker. About Clarion Partners Clarion Partners, LLC, an SEC registere
Business Wire / Posted 14 days ago
estate broker. About Clarion Partners Clarion Partners, LLC, an SEC registered investment adviser with FCA-authorized and FINRA member affiliates, has been a leading U.S. real estate investment manager for more than 35 years. Headquartered in New... Read more
15d
Business Wire
Churchill Asset Management Completes Fundraising for Inaugural Middle Market Senior Loan Fund as Part of Nuveen With Over $1.1 Billion in Committed Capitaldelivers the expertise of TIAA Investments and its independent investment affil
Business Wire / Posted 15 days ago
delivers the expertise of TIAA Investments and its independent investment affiliates. Nuveen Securities, LLC, Members FINRA and SIPC, distribute securities products. Investments in middle market loans are subject to certain risks. Please... Read more
15d
Business Wire
E*TRADE Financial Corporation Announces Upcoming Speaking Engagementproducts and services to retail customers. Securities products and services are
Business Wire / Posted 15 days ago
products and services to retail customers. Securities products and services are offered by E*TRADE Securities LLC (Member FINRA/SIPC). Commodity futures products and services are offered by E*TRADE Futures LLC (Member NFA). Managed Account... Read more
15d
Business Wire
Amid a Busy Year, E*TRADE Study Reveals Investors Give the Fed Passing Gradesproducts and services to retail customers. Securities products and services are
Business Wire / Posted 15 days ago
products and services to retail customers. Securities products and services are offered by E*TRADE Securities LLC (Member FINRA/SIPC). Commodity futures and options on futures products and services are offered by E*TRADE Futures LLC (Member NFA).... Read more
15d
Business Wire
AWS Announces Amazon GuardDutyonly a matter of hours and enhances our threat detection capabilities.” The Fi
Business Wire / Posted 15 days ago
only a matter of hours and enhances our threat detection capabilities.” The Financial Industry Regulatory Authority (FINRA) oversees more than 3,900 securities firms with approximately 640,000 brokers and processes approximately 6 terabytes... Read more
3 related articles
16d
US Commodities Futures Trading Commission
Remarks of Chairman J. Christopher Giancarlo to the Federal Reserve Board of New York Third Annual Conference on the Evolving Structure of the U.S. Treasury MarketReview of Financial Studies, Volume 25(2), pp. 599-638. Mizrach, B. (2015), “A
US Commodities Futures Trading Commission / Posted 16 days ago
Review of Financial Studies, Volume 25(2), pp. 599-638. Mizrach, B. (2015), “Analysis of Corporate Bond Liquidity,” FINRA Office of the Chief Economist, Research Note. Obizhaeva, A., and Wang J. (2013), “Optimal Trading Strategy and... Read more
16d
Business Wire
Signature Bank to Participate in the Goldman Sachs US Financial Services Conference 2017Securities Group Corporation, a wholly owned Bank subsidiary, is a licensed bro
Business Wire / Posted 16 days ago
Securities Group Corporation, a wholly owned Bank subsidiary, is a licensed broker-dealer, investment adviser and member FINRA/SIPC, offering investment, brokerage, asset management and insurance products and services. Since commencing... Read more
17d
Business Wire
SGI Aviation Receives Strategic Investment From FinTech Global Incorporatedwithin the financial technology industry and structured investment products. In
Business Wire / Posted 17 days ago
within the financial technology industry and structured investment products. In addition, Seabury Capital owns and operates FINRA regulated investment banking services firms in the U.S. and U.K. serving external clients as well as assisting the... Read more
17d
Business Wire
Seabury Capital Sells Controlling Interest in SGI Aviation to FinTech Global Incorporatedwithin the financial technology industry and structured investment products. In
Business Wire / Posted 17 days ago
within the financial technology industry and structured investment products. In addition, Seabury Capital owns and operates FINRA regulated investment banking services firms in the U.S. and U.K. serving external clients as well as assisting the... Read more
17d
Business Wire
E*TRADE Announces Pricing of Preferred Stock Offeringproducts and services to retail investors. Securities products and services are
Business Wire / Posted 17 days ago
products and services to retail investors. Securities products and services are offered by E*TRADE Securities LLC (Member FINRA/SIPC). Bank products and services are offered by E*TRADE Bank, a Federal savings bank, Member FDIC, or its... Read more
17d
Business Wire
E*TRADE to Host Education Day in Santa Claraproducts and services to retail customers. Securities products and services are
Business Wire / Posted 17 days ago
products and services to retail customers. Securities products and services are offered by E*TRADE Securities LLC (Member FINRA/SIPC). Commodity futures products and services are offered by E*TRADE Futures LLC (Member NFA). Managed Account... Read more
20d
Business Wire
Cowen and CEFC China Announce Mutual Agreement to Withdraw from Filing with the Committee on Foreign Investment in the United States (CFIUS)Management and its affiliates make up the Company’s alternative investment segm
Business Wire / Posted 20 days ago
Management and its affiliates make up the Company’s alternative investment segment, while Cowen and Company, a member of FINRA and SIPC, and its affiliates make up the Company’s broker-dealer segment. Cowen Investment Management provides... Read more
20d
Business Wire
Tri-Continental Corporation Declares Fourth Quarter DistributionInvestment Advisers, LLC. This material is distributed by Columbia Management I
Business Wire / Posted 20 days ago
Investment Advisers, LLC. This material is distributed by Columbia Management Investment Distributors, Inc., member FINRA. Columbia Threadneedle Investments is the global brand name of the Columbia and Threadneedle group of companies. Past... Read more
22d
Business Wire
Piper Jaffray to Host 29th Annual Healthcare ConferenceSecurities brokerage and investment banking services are offered in the U.S. th
Business Wire / Posted 22 days ago
Securities brokerage and investment banking services are offered in the U.S. through Piper Jaffray & Co., member SIPC and FINRA; in Europe through Piper Jaffray Ltd., authorized and regulated by the U.K. Financial Conduct Authority; and in Hong... Read more
22d
Business Wire
CORRECTING and REPLACING Several Nuveen Closed-End Funds Declare Capital Gainsthrough a wide array of vehicles and customized strategies. For more informatio
Business Wire / Posted 22 days ago
through a wide array of vehicles and customized strategies. For more information, please visit www.nuveen.com. The information contained on the Nuveen website is not a part of this press release. Nuveen Securities, LLC, member FINRA... Read more
23d
Business Wire
Cambridge Promotes Teri Bockting to Vice President of Human ResourcesAdvisors, Inc. – a large corporate RIA; and Cambridge Investment Research, Inc.
Business Wire / Posted 23 days ago
Advisors, Inc. – a large corporate RIA; and Cambridge Investment Research, Inc. – an independent broker-dealer, member FINRA/SIPC, that is among the largest privately-controlled independent broker-dealers in the country. Overall, Cambridge... Read more
23d
The Register
CEO: 'Claying the ongoing continuous chaos of info into one logical masterpiece'in other regulated industries. All these customers are being hit by regulations
The Register / Posted 23 days ago
in other regulated industries. All these customers are being hit by regulations to stop them misbehaving; SEC and FINRA standards, MiFID II and, of course, GDPR, so compliance verification is big news.Partnerships Data protector Acronis... Read more
24d
Business Wire
Opus Bank Expands West Coast Commercial Banking Teamimprovement through its Merchant Banking division and its broker-dealer subsidi
Business Wire / Posted 24 days ago
improvement through its Merchant Banking division and its broker-dealer subsidiary, Opus Financial Partners, LLC, Member FINRA/SIPC. Opus Bank’s alternative asset IRA custodian subsidiary has over $16 billion of custodial assets and approximately... Read more
28d
Business Wire
Petsky Prunier Advises Hayes on its Sale to TractManagerproviding strategic and transactional services. We offer global reach supplemen
Business Wire / Posted 28 days ago
providing strategic and transactional services. We offer global reach supplemented through our partnerships in China and India. Securities transactions are processed through Petsky Prunier Securities LLC, a member of FINRA, and an affiliated en... Read more
2 related articles
28d
Business Wire
Securities America Recruits All-Female Advisor Group with $446M in Client Assetsneed to take care of their clients today and into the future.” Securities offe
Business Wire / Posted 28 days ago
need to take care of their clients today and into the future.” Securities offered through Securities America, Inc., member FINRA/SIPC. Advisory services offered through Financial Focus LLC. Financial Focus LLC is a separate entity from Securities... Read more
29d
Business Wire
Clough Closed-End Funds Announces Final Results of Tender Offersrisks and uncertainties.As a result, none of the Adviser, the Funds, or any oth
Business Wire / Posted 29 days ago
risks and uncertainties.As a result, none of the Adviser, the Funds, or any other person assumes responsibility for the accuracy and completeness of such statements in the future. ALPS Portfolio Solutions Distributor, Inc, FINRA... Read more
30d
Business Wire
Apex Clearing and BNY Mellon Originate First Ever Real-Time Payments TransactionDallas with offices in New York City, Chicago and Portland, Oregon, Apex Cleari
Business Wire / Posted 30 days ago
Dallas with offices in New York City, Chicago and Portland, Oregon, Apex Clearing is registered with the SEC, a member of FINRA, and a participant in SIPC. For more information, visit apexclearing.com. About BNY Mellon Treasury Services With... Read more
30d
Business Wire
E*TRADE Financial Corporation Reports Monthly Activity for October 2017party accounts. About E*TRADE Financial Securities products and services are
Business Wire / Posted 30 days ago
party accounts. About E*TRADE Financial Securities products and services are offered by E*TRADE Securities LLC, Member FINRA/SIPC. Investment advisory services are offered through E*TRADE Capital Management, LLC, a Registered Investment... Read more
1m
Business Wire
Command Center Reports Third Quarter 2017 Financial Resultsearly December 2017, provided that Command Center’s Articles of Amendment have
Business Wire / Posted a month ago
early December 2017, provided that Command Center’s Articles of Amendment have been filed with the state of Washington and FINRA approval is obtained. Command Center does not anticipate issuing fractional shares as a result of the reverse stock... Read more
1m
Business Wire
Hilliard Lyons Research Analyst Ranks Number 1 in Projecting Apple Revenueissues that include education funding, business succession, retirement, and tru
Business Wire / Posted a month ago
issues that include education funding, business succession, retirement, and trusts and estates – to advise clients through life’s financial challenges. J.J.B. Hilliard, W.L. Lyons, LLC is a member of the New York Stock Exchange, FINRA, a... Read more
1m
Business Wire
Opus Bank Names New Chief Financial Officerimprovement through its Merchant Banking division and its broker-dealer subsidi
Business Wire / Posted a month ago
improvement through its Merchant Banking division and its broker-dealer subsidiary, Opus Financial Partners, LLC, Member FINRA/SIPC. Opus Bank’s alternative asset IRA custodian subsidiary has over $16 billion of custodial assets and approximately... Read more
1m
Glenwood Springs Post Independent
Personal Finance column: Get rid of the “s word”Advisory Services offered through Cambridge Investment Research Advisors Inc.,
Glenwood Springs Post Independent / Posted a month ago
Advisory Services offered through Cambridge Investment Research Advisors Inc., a Registered Investment Advisor. Securities offered through Cambridge Investment Research Inc., a broker/dealer, member FINRA/SIPC. Cambridge and WBD are not affil... Read more
More

In this news