Tag: compliance failures,
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Webull fined $4.2 million over compliance failures, FINRA says
Nov 5 : The Financial Industry Regulatory Authority, Wall Street’s industry regulator, said on Thursday it fined Webull Financial $4.2 million for failing to implement programs aimed at preventing illicit finance and other issues.• Between January 2020 and September 2023, the digital brokerage did not imple
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Uber board sued over alleged ‘serial’ compliance failures, sexual abuse lawsuits
June 22 : Uber Technologies’ board was sued on Monday by shareholders who accused management and directors of letting the ride-sharing company cut corners on compliance, leading to thousands of lawsuits from victims of sexual assault and harassment.In a complaint filed in San Francisco federal court, sharehol
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