Financial Markets Authority secures win against CBL’s former CFO over disclosure breaches
The FMA has already reached in-court settlements with CBLC, its managing director Peter Harris, and its former independent ...
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FMA secures another win against CBL, this time its former CFO
The Financial Markets Authority (FMA) has scored another victory in its long-running battle with directors and staff of the former NZX-listed insurer CBL Corporation. The High Court found former ...
Robinhood Shares Slide After $30 Million Finra Settlement
Shares of Robinhood Markets retreated after the two of its units agreed to pay almost $30 million to resolve claims from the Financial Industry Regulatory Authority. The stock was down 6.6% at $41.50 ...
Robinhood to Pay $30 Million to Settle Finra Investigation
Two brokerage units of Robinhood Markets have agreed to pay $29.75 million to settle an investigation by the Financial Industry Regulatory Authority into a range of violations, some of which date back ...
Robinhood paying $29.75 million to end Financial Industry Regulatory Authority probes
The brokerage regulator said on Friday that Robinhood will pay a $26 million civil fine and $3.75 million of restitution to customers.