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FINRA Press Releases

Orolia to Showcase Latest Resilient Financial Trading Solutions at FIX EMEA

Orolia, the global leader in Resilient Positioning, Navigation and Timing (PNT) solutions, announced today that it will showcase turnkey financial trading solutions that deliver ultra-precise time stamping and protect against GNSS signal interference at Europe’s largest one-day electronic trading event,…

Orolia Introduces VelaSync™ 1232 Time Server for High-Speed Financial Trading

Orolia, the global leader in Resilient Positioning, Navigation and Timing (PNT) solutions, introduced its latest technology innovation today, the VelaSync™ 1232 high speed, low-latency time server that is specifically designed for high-frequency financial trading. This ultra-accurate solution can also be…

HubStor Adds Support for Immutable Storage for Microsoft Azure Blobs

HubStor today announced that its software is compatible with Immutable storage for Microsoft Azure Blobs, a new data protection and compliance feature available in Azure that satisfies write-once-read-many (WORM) requirements of organizations regulated by SEC, CFTC, FINRA, Mifid II, and…

HubStor WORM Storage in Microsoft Azure Reviewed by Former US Securities and Exchange Commission Investigator

HubStor WORM Storage in Microsoft Azure Reviewed by Former US Securities and Exchange Commission Investigator

HubStor Inc., the leading provider of data-aware cloud storage solutions, today announced that its immutable storage functionality had undergone a third-party assessment of its ability to assist broker-dealers with U.S. Securities and Exchange Commission (SEC) Rule 17a-4 compliance. The evaluation…

Solomon Exam Prep launches first training program for FINRA’s Securities Industry Essentials Exam

FINRA is giving the securities industry a facelift. In an effort to reduce redundant exams and attract more people to the industry, FINRA has ordered a nip and tuck of its licensing exams.  Starting October 1, 2018 FINRA's makeover will…

FINRA Claim Filed Against UBS Financial Services For Failing To Supervise Todd Michael Ellentuck

Todd Ellentuck was employed by UBS Financial Services "UBS" from 2012 to October 2016. Ellentuck was discharged from UBS, according to his broker check report, for "violating the firms order entry policy by failing to enter trades immediately upon receipt,…

FINRA Arbitration Claim Filed Against VFG Securities and Broker Mark Trewitt

Two Texas retirees hired the securities arbitration law firm Soreide Law Group to recover more than $300,000 in investment losses with VFG Securities broker Mark Andrew Trewitt "Trewitt". The customers' accounts were heavily concentrated in alternative investments, including: Aequitas IOF…

Lisa Roth with Monahan & Roth, LLC to Speak at The Knowledge Group's Webcast

For further details, please visit:https://theknowledgegroup.org/event-homepage/?event_id=2253About Lisa RothLisa Roth is the President of Monahan & Roth, LLC, a regulatory compliance company providing services including professional consultations, audit/independent testing, due diligence, training, and other compliance services. Ms. Roth also provides expert witness…

TradePMR to Integrate FinMason's Risk Tolerance Process and Analytics Into Advisor Workstations

TradePMR to Integrate FinMason's Risk Tolerance Process and Analytics Into Advisor Workstations

​​​TradePMR today announced at the 2017 Synergy Conference, an annual gathering for independent registered investment advisors (RIAs), its plan to integrate two FinMason products into its cutting-edge advisor desktop workstation, Fusion, and their new mobile-friendly platform, EarnWise. Advisors using Fusion…

HubStor Touts Azure Compliance Archiving With Event-Based Retention and Content-Aware WORM Compliant Storage in the Cloud

HubStor Touts Azure Compliance Archiving With Event-Based Retention and Content-Aware WORM Compliant Storage in the Cloud

HubStor Inc. today announced new features that empower organizations to satisfy FINRA/SEC Rule 17a-4, Sarbanes-Oxley, and HIPAA requirements for event-based retention and write-once-read-many (WORM) compliance storage on the Microsoft Azure cloud platform. Compliance archive vendors have not innovated in years,…

Wordego, an Innovative Online Advertising Company is Now Open for Investing via truCrowd Portal

Wordego, an Innovative Online Advertising Company is Now Open for Investing via truCrowd Portal

​truCrowd.com - the funding portal for non-accredited investors, that helps US startups and small businesses to raise funds from anyone, announced today that Wordego Inc., an online advertising network that provides complete technology solutions to automate the purchase and sale…

Yokal Sports, the First Crowd Sourced Video Service for School Sports, is Now Open for Investing via truCrowd Portal

Yokal Sports, the First Crowd Sourced Video Service for School Sports, is Now Open for Investing via truCrowd Portal

truCrowd.com - the funding portal for non-accredited investors, that helps US startups and small businesses to raise funds from anyone, announced today that Yokal Sports, the the first crowd sourced video service for high-school and college sports fans is now…

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