FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program.

Reliant Holdings, Inc. (OTCQB: ONAR), a leading marketing technology company and network of marketing agencies, today ...

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would ...

The brokerage industry self-regulator suggests firms review their third-party risk assessments and ensure proper controls ...

This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of ...

The U.S. Financial Industry Regulatory Authority (FINRA) is sanctioning the clearing firm behind an earlier enforcement ...

FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This marks the first enforcement action under FINRA Rule 4330, which governs ...

JPMorgan, along with Charles Schwab and a New York-based RIA, stand accused of not doing enough to prevent the son of an ...

Alpine Securities Corp.'s recent reprieve from securities industry expulsion without SEC review still leaves it with an ...

Policygenius examines the simultaneous popularity and mystery surrounding annuities in an uncertain American economy and ...

Securities and Advisory services offered through LPL Financial LLC (“LPL Financial”) or its affiliate LPL Enterprise, LLC (“LPL Enterprise”), both registered investment advisors and broker-dealers.

On January 28, the Financial Industry Regulatory Authority (FINRA) published the 2025 update to its annual Regulatory ...