Compliance & Ethics
Jan 14, 2025

Robinhood Broker-Dealers Fined $45 Million for Sweeping Securities Law Violations

IT Security & Privacy
Jan 13, 2025

Gravy Analytics Data Breach Exposes Precise Location Data from Millions of Users

Compliance & Ethics
Jan 13, 2025

Fidelity Brokerage Services Settles with FINRA Over Mismanagement of Client Accounts

Compliance & Ethics
Jan 13, 2025

French AMF Fines US Investment Fund €10 Million for Nasdaq IPO Price Manipulation

Compliance & Ethics
Jan 13, 2025

BMO Capital Markets Faces $40 Million Reckoning for Supervisory Failures

Compliance & Ethics
Jan 10, 2025

Liquidnet Faces $5 Million Fine Over Safeguards Failures & Missteps

Compliance & Ethics
Jan 10, 2025

OCC Increases Civil Money Penalty Maximums for 2025

Compliance & Ethics
Jan 10, 2025

Vince McMahon’s $10.5 Million Fallout: SEC Charges WWE’s Former CEO Over Hidden Settlements