Latest Breaking News On - Enforcement jessica hopper - Page 1 : comparemela.com

FINRA orders National to pay $9M over IPO aftermarket sales

As wealth managers brace for new enforcement cases under Reg BI, a case stemming from conduct four years ago may offer some clues about what’s to come.

Jo anne mccuskerJessica hopperBoca ratonMichael edmistonNational securitiesJonathanw evans associatesPublic investors advocate bar associationFlorida based nationalRegulation best interestPublic investors advocate barEnforcement jessica hopperRegulation and complianceAlternative investments

Merrill Lynch settles FINRA mutual fund case for $15 2M

The regulator gave the firm credit for “extraordinary cooperation” despite alleging that its system failed for six years to the tune of more than $13 million.

Melissa hodgmanNaomi pattonJessica hopperMerrill lynchEnforcement director melissaEnforcement jessica hopperRegulation and complianceMutual funds

SEC, FINRA enforcement officials give compliance tips

SEC, FINRA enforcement officials give compliance tips
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

Melissa hodgmanJessica hopperJp morgan chaseCommodity futures trading commissionAdvisor group sagepoint financialEnforcement director melissa hodgmanEnforcement jessica hopperAdvisor groupSagepoint financialFutures trading

Robinhood fined $70 million for misleading customers

Robinhood fined $70 million for misleading customers Michael Kaplan © Patrick Sison / AP Robinhood logo The stock-trading app Robinhood was ordered to pay nearly $70 million Tuesday by financial regulators for misleading its customers, causing them to lose millions of dollars. A major player in the recent stock market frenzy, Robinhood says its mission is to stand up for the little guy and democratize finance. But in a 123-page complaint, the Financial Industry Regulatory Authority said Robinhood inflicted widespread and significant harm to millions of customers by providing them with false information about their investments. FINRA, which has federal authority to regulate financial firms, said the company also failed to reasonably maintain its technology and neglected to do proper due diligence before approving customers for complex trades called options.

Alex kearnsGary burtonJessica hopperDorothy kearnsExchange commissionFinancial industry regulatory authorityPatrick sisonEnforcement jessica hopperஅலெக்ஸ் கர்ந்ஸ்கேரி பர்டன்ஜெசிகா ஹாப்பர்டோரதி கர்ந்ஸ்பரிமாற்றம் தரகுநிதி தொழில் ஒழுங்குமுறை அதிகாரம்பேட்ரிக் சிசன்அமலாக்கம் ஜெசிகா ஹாப்பர்

Financial regulator hits Robinhood for $70 million for widespread and significant harm to customers

Financial regulator hits Robinhood for $70 million for widespread and significant harm to customers By Michael Kaplan Former Robinhood workers speak out The stock-trading app Robinhood was ordered to pay nearly $70 million Tuesday by financial regulators for misleading its customers, causing them to lose millions of dollars. A major player in the recent stock market frenzy, Robinhood says its mission is to stand up for the little guy and democratize finance. But in a 123-page complaint, the Financial Industry Regulatory Authority said Robinhood inflicted widespread and significant harm to millions of customers by providing them with false information about their investments. FINRA, which has federal authority to regulate financial firms, said the company also failed to reasonably maintain its technology and neglected to do proper due diligence before approving customers for complex trades called options.

Alex kearnsJessica hopperDorothy kearnsExchange commissionFinancial industry regulatory authorityEnforcement jessica hopperஅலெக்ஸ் கர்ந்ஸ்ஜெசிகா ஹாப்பர்டோரதி கர்ந்ஸ்பரிமாற்றம் தரகுநிதி தொழில் ஒழுங்குமுறை அதிகாரம்அமலாக்கம் ஜெசிகா ஹாப்பர்