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 ...

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

They are responsible for making certain regulatory filings and disclosures also. Texas-based Apex Clearing Corp. also handled lending for fully paid securities, a practice in which a firm “borrows” ...

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

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 ...

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

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

Apex Clearing Corporation, a wholly-owned subsidiary of Apex Fintech Solutions Inc., is an SEC registered broker dealer, a member of FINRA and SIPC, and is licensed in 53 states and territories.

They are responsible for making certain regulatory filings and disclosures also. Texas-based Apex Clearing Corp. also handled lending for fully paid securities, a practice in which a firm “borrows” ...

FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This is the first time FINRA has charged a firm with violating FINRA ...