Finra

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 2018-09-13 18:14 

Toshi Times

FINRA Takes First Disciplinary Action Against Crypto, Punishing HempCoin...
 2018-09-13 11:43 

Business Insider India

Wall Street regulators are stepping up enforcement actions against cryptocurrency investments - and it could add legitimacy to the nascent market in the long-run...

Mark Wilson/Getty ImagesBoth the SEC and FINRA issued actions earlier this week against crypto firms.The enforcement actions were the first-ever major attempts...

 2018-09-12 22:03 

CCN

FINRA Takes Down HempCoin Cryptocurrency for Selling Unregistered Securities...

The Financial Industry Regulatory Authority (FINRA) has issued its first cryptocurrency-related disciplinary action, charging Timothy Tilton Ayre, a broker in Agawam, MA., with securities fraud and the unlawful distribution of HempCoin, which the agency c...

 2018-09-12 14:32 

TechCrunch

FINRA takes down an unregistered cryptocurrency security...
 2018-09-12 01:00 

CCN

Decentralized Crypto Trading Platform AirSwap Strikes Deal to Tokenize NY Real Estate Market...

Decentralized cryptocurrency trading platform AirSwap has announced a new partnership designed to aid in the tokenization of one of the Western Hemisphere's most expensive real estate markets. That partnership, inked with FINRA-registered broker-deale...

 2018-09-11 20:57 

Marketwatch.com

The Wall Street Journal: Finra accuses broker of fraud over cannabis-focused cryptocurrency security...

The Financial Industry Regulatory Authority has issued its first disciplinary action involving cryptocurrencies....

 2018-09-11 19:54 

Wall Street Journal

Finra Wades Into Cryptocurrency Enforcement...

The Financial Industry Regulatory Authority has issued its first disciplinary action involving cryptocurrencies, accusing a broker of fraud and unlawful distribution of HempCoin, a cannabis-focused cryptocurrency....

 2018-09-11 14:44 

CoinDesk

In First, FINRA Files Fraud Complaint Against Crypto Broker...

The Financial Industry Regulatory Authority (FINRA) has filed a securities fraud complaint against a cryptocurrency broker....

 2018-09-07 17:42 

Markets Insider

Cuentas Announces New Symbol 'CUEN' Issued by FINRA...

MIAMI, September 7, 2018 /PRNewswire/ -- Cuentas, Inc. ("CUENTAS" or the "Company") (OTCQB: CUEN), a FinTech service provider delivering mobile banking, prepaid debit and credit and......

 2018-09-03 23:30 

Markets Insider

DATI Provides Update on Name Change With FINRA and the Filing Status on OTC Markets...

NEW YORK, Sept. 03, 2018 (GLOBE NEWSWIRE) --...

 2018-08-22 22:21 

Markets Insider

RealBiz Media Group Files to Change Name and Symbol...

Gaithersburg, MD, Aug. 22, 2018 (GLOBE NEWSWIRE) -- via NEWMEDIAWIRE -- RealBiz Media Group, Inc. (OTC:RBIZ) (the "Company") is pleased to announce that it has filed with the State of Delaware and FINRA to change both its name and stock symbol....

 2018-08-20 22:25 

Channel NewsAsia

FINRA fines Interactive Brokers US$5.5 million for short selling violations...

The Financial Industry Regulatory Authority (FINRA) has fined a unit of Interactive Brokers Group Inc US$5.5 million for violating several naked ......

 2018-08-20 22:25 

One America News Network

FINRA fines Interactive Brokers $5.5 million for short selling violations...

- The Financial Industry Regulatory Authority (FINRA) has fined a unit of Interactive Brokers Group Inc $5.5 million for violating several naked short selling rules over a period of The post FINRA fines Interactive Brokers $5.5 million for short selling v...

 2018-08-20 22:21 

Reuters

FINRA fines Interactive Brokers $5.5 million for short selling violations...

The Financial Industry Regulatory Authority (FINRA) has fined a unit of Interactive Brokers Group Inc $5.5 million for violating several naked short selling rules over a period of at least three years....

 2018-08-20 22:17 

Reuters

UPDATE 1-FINRA fines Interactive Brokers $5.5 mln for short selling violations...
 2018-08-20 21:53 

Reuters

[ UK ]

Interactive Brokers fined $5.5 million for breaking short selling rules - Wall Street Journal...

A unit of Interactive Brokers Group Inc has been fined $5.5 million by the Financial Industry Regulatory Authority (FINRA), the Wall Street Journal reported on Monday....

 2018-08-20 21:44 

Reuters

Interactive Brokers fined $5.5 million for breaking short selling rules: Wall Street Journal...

A unit of Interactive Brokers Group Inc has been fined $5.5 million by the Financial Industry Regulatory Authority (FINRA), the Wall Street Journal reported on Monday....

 2018-08-20 20:08 

Marketwatch.com

Consumer Watch: Too many ICOs peddle outright fraud: FINRA...

As scrutiny around the initial coin offering (ICO) market tightens, the Financial Industry Regulatory Authority Inc. (FINRA) has issued a warning to potential investors about the risks associated with investing money into the alternative and contentious f...

 2018-08-20 15:31 

Advisor Perspectives

Margin Debt and the Market...

FINRA has released new data for margin debt, now available through July. The latest debt level is up 0.9% month-over-month. The July data gives us an additional sense of recent investor behavior....

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