OANDA, New York based forex trading serving provider recently revealed in an announcement that it has made a new addition to its APAC region senior level leadership team. As per statement released by the firm…
FXCM Launches Equal Weighted Crypto Basket for Retail…
The leading international provider of online foreign exchange trading, CFD trading, and cryptocurrencies has introduced a crypto basket to its retail customers, under the name of CryptoMajor and made up of the 5 cryptocurrencies currently…
Raymond James Agrees to Pay $15 Million for…
Washington D.C., Sept. 17, 2019 — The Securities and Exchange Commission today instituted a settled order against three Raymond James entities for improperly charging advisory fees on inactive retail client accounts and charging excess commissions…
SEC Shuts Down $300 Million Fraud Perpetrated by…
Washington D.C., Aug. 29, 2019 — The Securities and Exchange Commission today announced it has filed charges and obtained a consented-to asset freeze against San Diego-based ANI Development LLC, its principal, Gina Champion-Cain, and a…
DriveWealth Opens U.S. Equity Markets to Retail Investors…
DriveWealth has signed yet another deal to give retail investors across the world access to the U.S. equity markets. The U.S. based leader in global digital trading technology remains on its path of expansion with…
Gain Capital Reports Slowdown in Financial Performance for…
Gain Capital, the global provider of online trading services has posted the first quarterly result ending on 31st March 2019 for the FY 2019. The year 2019 started on weaker note reporting losses for its…
Some AFS Licensees May be Breaking Overseas Laws
Australian financial service (AFS) licensees that offer OTC derivatives to retail investors located in some overseas jurisdictions may be breaking overseas laws providing unlicensed or unauthorised services in those jurisdictions. Retail OTC derivatives are highly…
SEC Share Class Initiative Returning More Than $125…
Reflecting SEC’s Commitment to Retail Investors, 79 Investment Advisers Who Self-Reported Advisers Act Violations Agree to Compensate Investors Promptly, Ensure Adequate Fee Disclosures The Securities and Exchange Commission today announced settled charges against 79 investment…
BB&T to Return More Than $5 Million to…
The Securities and Exchange Commission today announced that BB&T Securities has agreed to return more than $5 million to retail investors and pay a $500,000 penalty to settle charges that a firm it acquired misled…