Financial Industry Regulatory Authority : Lawyer Herald

Interactive Brokers ordered to pay $1.2 million for trustee's 'reckless' trades

A top discount brokerage, Interactive Brokers LLC, must pay $1.2 million to two Texas siblings who a...

Apr 29, 2015 09:33 AM EDT

A former securities arbitration official's wrongful termination suit against the Financial Industry ...

Dec 21, 2014 12:48 AM EST

A TD Ameritrade Holding Corp employee who said the firm retaliated against him for complaining about...

Dec 10, 2014 02:55 AM EST

Citigroup Inc (C.N) is shutting down its alternative stock trading venue LavaFlow, the bank said on ...

Dec 03, 2014 07:28 AM EST

A unit of Citigroup Inc must pay a $15 million fine for not adequately supervising communications am...

Nov 24, 2014 10:56 AM EST

Wall Street's self-funded regulator said on Monday it fined Bank of America Corp's Merrill Lynch uni...

Oct 28, 2014 02:41 AM EDT

NYSE Group said on Monday it would take back the majority of the policing duties for its two U.S. op...

Oct 07, 2014 05:06 AM EDT

Bloomberg noted that the $95,000 fine imposed by Financial Industry Regulatory Authority on JPMorgan...

May 22, 2014 04:12 PM EDT