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FINRA Fines Greenbird Capital for Engaging in Cold Calling
United States · United States

FINRA Fines Greenbird Capital for Engaging in Cold Calling

Greenbird Capital LLC has agreed to pay a fine of $50,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).See the Story
Kelly Beach Comment On Regulatory Notice 24-13

Kelly Beach Comment On Regulatory Notice 24-13

Kelly Beach Comment On Regulatory Notice 24-13 fnrw-backend Fri, 07/25/2025 - 13:57 Kelly Beach Kelly Beach Regulatory Notice 24-13 Core Official Date Fri, 07/25/2025 - 12:00 Comment File Kelly Beach_24-13_7.25.25_Modernize PDT Rule.pdfRead Article
2022076787401 Tradestation Securities Inc. CRD 39473 AWC lp.pdf
Cryptocurrency · United States

2022076787401 Tradestation Securities Inc. CRD 39473 AWC lp.pdf

From July to September 2022, TradeStation Securities distributed retail communications concerning crypto assets or crypto asset-related services which failed to clearly disclose that crypto assets were not offered through a registered broker-dealer or which did not provide a fair and balanced presentation of the benefits and risks of the products discussed. Therefore, Tradestation Securities violated FINRA Rules 2210(d) and 2010 and is censured …Read Article

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