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"Punch in the stomach after 20 years": How a JPMorgan employee won $4 million after being fired over a $600 food platterA former JPMorgan broker, fired over a $642.50 deli bill for a Super Bowl party, has been awarded $4.25 million in damages. A FINRA panel r...- Chirayu Rana allegedly sought legal chatbot’s help accusing ex-Morgan Stanley boss of rape months before complaining against JPMorgan executive Lorna Hajdini; internet dividedA former JPMorgan Chase employee, Chirayu Rana, previously detailed similar sexual assault allegations against a Morgan Stanley boss on an ...
- Chirayu Rana spent less than six months at his new job before filing sexual harassment lawsuit against former JPMorgan colleague Lorna HajdiniChirayu Rana, the former "John Doe" in a sexual harassment suit against ex-JPMorgan colleague Lorna Hajdini, left his new job at Bregal Sag...
- Goldman Sachs fined for failing to properly report billions of tradesGoldman Sachs will pay a $1.45 million fine to settle claims by FINRA for inaccurate reporting of billions of stock market trades. Coding e...
- US regulator fines Bank of America $24 million for Treasuries spoofingSpoofing involves placing orders traders intend to cancel, hoping to create a false sense of market activity that moves prices in a directi...
- Short sellers will have to report more data under new US SEC rulesThe rules, first proposed in late 2021 and early 2022, will require investors to report their short positions to the agency, and companies ...
- Goldman Sachs fined $3 mln by FINRA over mismarking short sale ordersGoldman Sachs has been fined $3m by its self-funded regulator, the Financial Industry Regulatory Authority, over inaccurate marking of shar...
- Vested Finance launches 2 portfolio options for retailers, take total count to 5The FINRA-registered US broker-dealer, via its affiliate VF Securities, has announced two additional pre-built Vests in partnership with Xu...
- ETMarkets Smart Talk: Indians buying Disney, Airbnb; US IPOs still far fetched, says Viram Shah"Vested Finance enables Indian investors to put money in the US markets. Now, through our affiliated entity – VF Securities – we are a FINR...
- Wall Street watchdog to laid-off crypto employees: work for usWhile federal agencies jockey for position to be the primary regulator for digital assets, regardless of the outcome, Financial Industry Re...
- Robinhood says US watchdogs probing staff meme stock trading, registrationThe newly disclosed inquiries from the US Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) ...
- Robinhood fined $70 mn for harming 'millions' via misleading info, outagesThe broker, which has been credited with democratizing trading, is under scrutiny by federal and state policymakers following this year's m...
- Wall Street body proposes new rules on short positions, stock loansThe proposed changes to Rule 4560 would increase the frequency of short-interest reports from twice a month to weekly or even daily. The ch...
- Perils of being financially ‘literate’‘Knowledgeable’ people are more likely to make poor investing decisions.
- Wells Fargo, LPL, Raymond James to reimburse $30 million in fund fees: FINRAThree major securities brokerages must collectively reimburse customers more than $30 million for failing to waive mutual fund sales charge...
- Bank of America sends incorrect data to a US regulatorBank of America Corp said it sent incorrect data to a US regulator that made its private stock trading platform look bigger than it actuall...
- Morgan Stanley unit fined over trader's $1.3 billion betMorgan Stanley Smith Barney, the brokerage venture of Morgan Stanley and Citigroup Inc, was fined $450,000 after a trader amassed a $1.3 bi...
- SEC approves circuit-breaker rules for US stocks tradingThe US markets regulator, the Securities and Exchange Commission, said Thursday it had approved new circuit-breaker rules on stocks trading...
- FINRA names Richard Ketchum chief executiveBrokerage industry's self-policing organization named veteran regulator Richard Ketchum as its new chief executive officer. He promised tou...
- Broker rap sheets get stalked by other brokersWho’s hot to get their hands on the sometimes-tarnished records of stockbrokers? Judicious investors and meddling journalists accounted for...
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