FINRA announced that it has reached settlements with 56 member firms and obtained a total of $89 million in restitution for nearl...
CN Editor
July 18, 2019
CLOSING THE GAP BETWEEN MUTUAL, SEG FUND REGULATION
NASAA ANNOUNCES $17 MILLION MULTI-STATE ENFORCEMENT SETTLEMENT WITH EDWARD JONES
FINRA ORDERS THREE FIRMS TO PAY OVER $8.2 MILLION IN RESTITUTION TO CUSTOMERS
FINRA BOARD APPOINTS PUBLIC GOVERNOR AND DISCUSSES BUDGET, RULES REGARDING OUTSIDE BUSINESS ACTIVITIES AND PRIVATE SECURITIES TRANSACTIONS, AND 2025 REGULATORY OVERSIGHT REPORT
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CIRO SANCTIONS FORMER GRAVITAS SECURITIES INC. REP FROM TORONTO, ON
CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM TORONTO, ON
NEW CIRO MEMBER - NDAX CANADA INC.
CIRO MEMBER CHANGE OF CONTROL: OPTIMIZE WEALTH PARTNERS INC.