A broker-dealer settled FINRA charges for failing to assess the suitability of margin use in customer accounts and to monitor for excessive margin trading.

A broker-dealer settled FINRA charges for failing to supervise several registered representatives who recommended potentially high-risk securities to customers without assessing suitability.

New York Attorney General Leticia James urged Congress to pass legislation that would prohibit Individual Retirement Accounts and other defined contribution retirement plans from investing in digital assets.

FINRA warned investors to exercise caution when investing in small capitalization initial public offerings due to an increase in pump-and-dump schemes.