FINRA Penalizes Revere Securities $800,000 for Failures in Foreign Small-Cap IPO Oversight
FINRA fines Revere Securities $800,000 for AML failures and inadequate supervision of foreign small-cap IPOs showing ramp-and-dump hallmarks.
Liquidnet Expands SuperBlock Trading with New Targeted Invitations Tool
Liquidnet launches SuperBlock Targeted Invitations to help traders execute large block trades with better control over information distribution.
Tradeweb’s September Volume Surges 29% as Fixed Income Trading Hits Records
Tradeweb reports 29% YoY surge in September ADV to $3.7 trillion, driven by record fixed income activity.
FINRA Bars Broker Who Diverted $1.7 Million from Customer Accounts to Personal Business
FINRA permanently bars former LPL Financial broker Rudy Anguiano for converting $1.7 million from customer accounts into personal business.
TradingView Adds Public as Broker Partner, Enabling Direct Trading from Charts
Public integrates with TradingView to offer commission-free stock and ETF trading with options rebates directly from charts.
FINRA Orders American Portfolios to Return $1.2M to Customers Over UIT Supervision Failures
FINRA orders American Portfolios to return $1.2M to customers harmed by unsupervised unit investment trust sales.
Nasdaq Fines TD Arranged Services $29,166 for Failing to Monitor Manipulative Trading
Nasdaq fines TD Arranged Services $29,166 for inadequate surveillance systems designed to detect manipulative trading in omnibus accounts.
Alpaca Powers trii’s US Stock Trading Launch in Colombia, Targeting Underserved Retail Investors
trii launches US stock trading in Colombia via Alpaca partnership, targeting retail investors in underserved market.
Nasdaq PHLX Accepts Settlement with Avatar Securities Over Supervision Failures
Nasdaq PHLX settles with proprietary trading firm Avatar Securities over deficient supervision systems and market manipulation safeguards.
Alpaca Expands Index Options Trading to Live Markets via API Platform
Alpaca launches live index options trading via API for SPX, VIX, DJX and other indexes with $0.50 per-contract fees.