FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program.

Reliant Holdings, Inc. (OTCQB: ONAR), a leading marketing technology company and network of marketing agencies, today ...

Apex agreed to pay $3.2 million over alleged violation of rules related to the use of customers' securities, as well as communication, supervision and standards rules, without admitting or denying the ...

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would ...

This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of ...

The U.S. Financial Industry Regulatory Authority (FINRA) is sanctioning the clearing firm behind an earlier enforcement ...

Brandon Glasscock, who has been in the financial services industry since 2000, and Mandy Marie Haskell, who entered the industry in 2006, both joined Raymond James in January 2022 from Wells Fargo.

JPMorgan, along with Charles Schwab and a New York-based RIA, stand accused of not doing enough to prevent the son of an ...

Thrivent Financial for Lutherans and an affiliated investment adviser are asking a federal appeals court to review the SEC’s ...

FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This marks the first enforcement action under FINRA Rule 4330, which governs ...

Wondering how hard the Series 7 exam is? Learn about the pass rate, study tips, key details, and what it takes to ace this challenging FINRA exam!

A clearing firm agreed to pay $3.2 million and certify that it put in place compliance measures under an agreement with the ...