A clearing firm agreed to pay $3.2 million and certify that it put in place compliance measures under an agreement with the ...

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.

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 ...

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

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 ...

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.

today announced a strategic collaboration with Apex Clearing Corporation ("Apex"), an innovation launchpad for the global investment ecosystem. As a new addition to the Apex platform, the Fund is ...

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 ...