Canaccord Genuity Group Chairman and CEO Dan Daviau assumed direct operational control of the US broker-dealer subsidiary weeks after a historic $80 million FinCEN penalty for BSA/AML failures and Jeff Barlow’s immediate retirement as US division head. FINRA separately fined Aegis Capital Group $400,000 for 90 Regulation M violations, and 27 advisory firms graduated to full SEC registration.
Citadel Securities added Fenergo for client onboarding and KYC across both LLC and Institutional entities, Glen Eagle Wealth promoted its FINOP to CCO, and 26 advisory firms graduated to full SEC registration with New York contributing 8
Causeway Securities replaced its CEO and added a COO, 27 advisory firms completed SEC registration setting the month's single-day record, and Musaffa became the first Shariah-compliant RIA to graduate
Securian Financial Services separated its CEO and CCO functions by hiring a new compliance chief, Oddo BHF New York elevated its CCO to CEO/COO, and 23 advisory firms completed SEC...
FINRA fined Stash Capital LLC $75,000 for AML failures and barred Anthony Sica for refusing to cooperate with the Joseph Gunnar investigation, Kestra Financial reshuffled its regist...
March 20 set the month's record with 191 events including 44 advisor moves, the Federal Reserve enforcing against Ally Bank and Regions Bank employees, FINRA barring two brokers, a...
Federal banking agencies requested comment on proposals to modernize the regulatory capital framework, the FDIC rescinded its failed bank acquisition policy, and the CFTC signed a ...
FINRA filed a fraud complaint against Spartan Capital Securities, its CEO John Lowry, and its former CCO for defrauding customers holding restricted pharmaceutical shares, and sanc...
The CFTC joined the SEC to clarify the application of federal securities laws to crypto assets and issued a no-action letter, while FINRA barred a broker for non-cooperation and 24...
The Federal Reserve prohibited a Regions Bank employee from banking for misappropriating customer funds, the CFTC appointed its first Chief Data Officer, and 17 advisory firms comp...
Principal Funds Distributor promoted its chief compliance officer to president, Academy Securities restructured its financial operations, and 14 advisory firms completed SEC regist...
A record 47 investment advisors changed firm affiliations in the largest single-day movement of 2026 so far, while Vanguard Marketing Corporation restructured its board and Nasdaq ...
FINRA sanctioned Arcadia Securities for conducting business on three days while failing to maintain minimum net capital and for supervision failures spanning 18 months, while the F...
The CFTC issued an advanced notice of proposed rulemaking on prediction markets regulation, the Fed approved Home BancShares' acquisition application, and the Fed announced its tra...
The Federal Reserve approved Associated Banc-Corp's acquisition application, FINRA issued two regulatory notices including a request for comment on arbitration forum reform, and 14...