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…
FINRA Forms Office of Financial Innovation, Announces Haimera…
WASHINGTON – FINRA today announced the formation of an Office of Financial Innovation that will serve as a central point of coordination for issues related to significant financial innovations by FINRA member firms, particularly new…
Investors to Receive Reimbursement for Losses
Investors defrauded by David Michael Michaels will get some money back after the British Columbia Securities Commission (BCSC) obtained money from the sale of Michael’s Hawaiian property and a cash payment from Michaels. The BCSC’s…
FINRA Fines LPL $2.75 Million for Complaint-Reporting and…
WASHINGTON – FINRA announced today that it has fined LPL Financial, LLC $2.75 million for complaint-reporting and AML program failures that spanned a period of more than three years. FINRA found that LPL failed to…
SEC Busts Allegedly Fraudulent Fintech Start-up
The Securities and Exchange Commission (SEC) charged the Chief Executive Officer (CEO) of a fintech start-up with fraud. The SEC made the announcement against Michael Liberty, 57 and the CEO of the fintech start-up Mozido,…
Quantitative Brokers appoint new CEO and Executive Chairman
[caption id="attachment_244586" align="alignleft" width="163"] Ralf Roth, Quantitative Brokers Chief Executive Officer[/caption] Quantitative Brokers has appointed Ralf Roth as Chief Executive Officer and named Thomas Ascher as Executive Chairman. The decision came as the independent global…