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Regulations

45 Articles

TD Bank Is Now Facing A Painful Class Action Lawsuit

By Frank Nez

2 Comments

3 Min Read

TD Bank is now facing a painful class action lawsuit over its AML failures by an investor for misleading its shareholders.

By Frank Nez

3 Comments

3 Min Read

Interactive Brokers violations now prompts illegal short selling inquiries due to the creation and increase of deficits in securities.

By Frank Nez

3 Comments

3 Min Read

Investors are now calling for the congressional scrutiny of FINRA for illegal practices following the surfacing of new data.

By Frank Nez

3 Comments

2 Min Read

Regulators overseas are now tripling fines in naked short selling, a way to combat the illegal market manipulation practice.

By Frank Nez

3 Comments

3 Min Read

Another hedge fund is now indicted for illegal short selling by South Korean securities regulators, a growing trend in the country.