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US Regulator Slaps $512,500 Fine on Goldman Sachs, Says Bank Failed to Identify Potential Market Manipulation

One of the largest investment banks in the world will pay over half a million dollars for failing to adequately monitor trading activities – including…

Goldman sachsDepartment of enforcementFinancial industry regulatory authorityReaking news

Former FINRA execs to lead CSG Law's new securities enforcement group

Former FINRA execs to lead CSG Law's new securities enforcement group
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New jerseyUnited statesJeffrey chiesaLisa coloneChiesa shahinian giantomasiChristopher kellyFrank giantomasiFinancial industry regulatory authoritySecurities enforcement groupDepartment of enforcementChiesa shahinianSecurities enforcementNorth regionEnforcement legalWhite collar defenseInvestigations groups

FINRA Facts and Trends: October 2023 | Bracewell LLP

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement,.

United statesNew yorkNew jerseySidney lebentalNaomi buchwaldEugeneh kimWeather alpha fundi partnersDepartment of enforcementAlpine securities corporationWhile the district courtAlmax financial solutionsInaccurate researchDistrict courtCourt allowsDistrict of columbia the courtInteractive brokers

FINRA Announces Departure of Enforcement Deputy Head Christopher Kelly

FINRA Announces Departure of Enforcement Deputy Head Christopher Kelly
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Christopher kellyRobert cookDepartment of enforcementEnforcement litigation groupSenior vice presidentDeputy headChief counselActing head

Financial Industry Regulatory Authority October 2023 Updates

Financial Industry Regulatory Authority October 2023 Updates
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United statesNew yorkNew jerseyEugeneh kimNaomi buchwaldSidney lebentalInaccurate researchCourt allowsDepartment of enforcementAlpine securities corporationInteractive brokersDistrict of columbia the courtAlmax financial solutionsWhile the district courtDistrict courtWeather alpha fundi partners