The Nation Newspaper

Stock Exchange may expel 56 inactive firms

The Nigerian Stock Exchange (NSE) has marked out about 56 dealing-member firms as inactive, kick-starting the revocation of their licences and expulsion from the stock market. The Nation had earlier ...
Business Insider

Finance of America Structured Securities Trust 2018-HB1 -- Moody's Assigns Provisional Ratings to Inactive HECM RMBS issued by Finance of America Structured Securities Trust ...

Rating Action: Moody's Assigns Provisional Ratings to Inactive HECM RMBS issued by Finance of America Structured Securities Trust 2018-HB1Vollstän ...
Law

SEC: Raymond James Owes $15 Million for Improper Charges on Inactive and Trust Accounts

St. Petersburg-based Raymond James agreed Tuesday to a $15 million settlement with the Securities and Exchange Commission for improperly charging advisory fees on inactive retail accounts and charging ...
Crain's Chicago Business

Citadel Securities pays $700,000 fine

Citadel Securities, the Chicago stock-trading behemoth owned by billionaire founder Ken Griffin, agreed to pay a $700,000 fine and provide restitution to customers for rule violations that a federal ...
The Nation Newspaper

NSE to revoke 88 stockbrokers’ licences

The Nigerian Stock Exchange (NSE) is set to commence the revocation of dealing licences and expulsion of not fewer than 88 stockbroking firms, about one-third of registered stockbroking firms on ...