Category: Finra (USA) Alerts

Alerts from Financial Industry Regulatory Authority about investor warnings, forex broker scams and more.

FINRA plays a critical role in ensuring the integrity of America’s financial system—all at no cost to taxpayers.
Working under the supervision of the Securities and Exchange Commission, Finra:

Write and enforce rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the U.S.;
Examine firms for compliance with those rules;
Foster market transparency; and
Educate investors.

Pension 5110 – SEC Approves Significant Amendments to FINRA Rules 5110 .

Posted on July 30, 2021 by Trading Scam News Editor

FINRA Rule 5110(f)(2) sets forth certain terms and arrangements that, when proposed in connection with a public offering of securities, are …

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Panamax Capital and Magstar Capital assist RICOVR in raising $1.5 million Pre-Series A Round

Posted on July 30, 2021 by Trading Scam News Editor

Broker/Dealer services provided by PartnerCap Securities, LLC, Member FINRA / SIPC.

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CHARGEPOINT HOLDINGS, INC. (CHPT) – The Securities Law Firm of Menzer & Hill, PA Is …

Posted on July 30, 2021 by Trading Scam News Editor

Under FINRA rules and regulations, all Broker-Dealers are required to follow FINRA rules and regulations, as there is no carveout for a brokerage firm if …

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Finra Suspends Ex-Merrill Rep Who Sought Covid-Relief Loan for Ersatz Business

Posted on July 30, 2021 by Trading Scam News Editor

Finra did not impose a fine because it said Batista’s financial statements demonstrated inability to pay.

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Aegis Broker’s Excessive Trading Costs Client More Than $140K, Finra Says

Posted on July 30, 2021 by Trading Scam News Editor

Finra said the customer opened a brokerage account with about $425,000, of which about 35% was invested in equities and 65% in mutual funds.

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EV Biologics NFT Dividend Warrant Date

Posted on July 30, 2021 by Trading Scam News Editor

The Company advises shareholders to call their broker or directly to FINRA if they don’t receive their NFT Warrant by mid-August.

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Ashford Securities Raises Over $2.1 Million For Its First Investment Product During July 2021

Posted on July 30, 2021 by Trading Scam News Editor

Ashford Securities, member FINRA/SIPC, is an SEC-registered broker-dealer that is wholly-owned by Ashford Inc.

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CLO hiring is back from the dead

Posted on July 30, 2021 by Trading Scam News Editor

… gone to credit fund Octagon, although this has not been confirmed by Barclays and Glyck remains at the bank according to his FINRA registration.

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Robinhood IPO: A Risk-Reward Analysis To Determine The Best Course Of Action

Posted on July 30, 2021 by Trading Scam News Editor

Robinhood said in its prospectus that the company paid a $65 million settlement penalty to the Financial Industry Regulatory Authority, or FINRA, for …

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