Sophia Harmelin

Sophia Harmelin

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FINRA’s Crackdown on Firms’ Use of Social Media Influencers Continues

The Financial Industry Regulation Authority’s (FINRA) Enforcement Division recently announced a resolution to a nearly two-and-a-half-year investigation in which TradeZero America, Inc. (TradeZero) agreed to pay a fine of...more

7/3/2024  /  Content Marketing , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Influencers , Social Media , Statutory Violations , Trading Platforms

FINRA’s First Disciplinary Action Targeting Firm’s Use of Social Media Influencers

The Financial Industry Regulatory Authority’s (FINRA) Enforcement Division recently announced its first settlement involving a firm’s supervision of social media influencers. The respondent, M1 Finance LLC (M1), is a...more

4/17/2024  /  Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Influencers , Investment Opportunities , Misleading Statements , Mobile Apps , Online Advertisements , Retail Investors , Settlement , Social Media
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