FINRA Fines Apex Clearing $3.2M for Securities Lending Violations

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Wealth Management

FEBRUARY 04, 2025

REGULATION & COMPLIANCE

FINRA Fines Apex Clearing $3.2M for Securities Lending Violations

This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of customers’ fully paid or excess margin securities.

PEOPLE

Financial Planning Association Head Patrick Mahoney Dies at 62

The association is mourning former CEO Mahoney, who passed away Saturday, while implementing a planned search process for his successor.

WHITE PAPER

Strategies to Help Accelerate Business

RIA NEWS

Mercer Advisors Closes First Deal of 2025 With Nashville-Area RIA

Denver-based Mercer Global Advisors announces acquisition of Financial Partners Group, expanding its presence in Nashville metro area.

MUST READS

10 Investment Must Reads for This Week (Feb. 4, 2025)

Morningstar breaks down the latest buzz and developments with memecoins and other crypto assets. Trump’s whipsaw tariff moves sent shudders through various ETF sectors, reports ETF.com. These are among the investment must reads we found this week for wealth advisors.

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