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FINRA Sanctions MetLife Securities, Inc. $25 Million for Negligent...
Largest FINRA Fine Relating to Variable Annuities
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Emotions Increase Susceptibility to Fraud in Older Adults: Research from...
WASHINGTON — Financial fraudsters often attempt to evoke strong emotions in their victims to convince them to hand over money, and seniors may be particularly vulnerable to the effects of heightened...
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FINRA Fines Stephens Inc. $900,000 for Inadequate Supervision of Research...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has censured Stephens Inc., of Little Rock, Arkansas, and fined the firm $900,000 for inadequately supervising...
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FINRA Offers What Investors Should Know about Crowdfunding
WASHINGTON — Starting on Monday, May 16, investors will be able to buy securities in early-stage companies through crowdfunding. Investors interested in taking this step should first take time to...
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FINRA Fines Raymond James $17 Million for Systemic Anti-Money Laundering...
Former AML Compliance Officer Fined and Suspended
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FINRA Files Complaint Charging Lawson Financial Corporation, CEO With...
Bonds Related to Charter School in Arizona and Two Assisted Living Facilities in Alabama
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FINRA Fines E*Trade Securities LLC $900,000 for Supervisory Violations...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined E*Trade Securities LLC $900,000 for failing to conduct an adequate review of the quality...
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FINRA Sanctions Oppenheimer & Co. $2.9 Million for Unsuitable Sales of...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co. Inc. $2.25 million and ordered the firm to pay restitution of more than $716,000...
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FINRA Announces CEO Transition
Taps Former SEC Director of the Division of Trading and MarketsWASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that its Board of Governors has concluded the CEO search,...
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Computerworld Names FINRA Among Best Places to Work in IT for 5th Consecutive...
WASHINGTON — One of the best places to work in information technology happens to be in financial regulation: the Financial Industry Regulatory Authority (FINRA), according to IDG’s Computerworld. This...
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FINRA Fines Merrill Lynch $5 Million for Failing to Disclose Material Facts...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $5 million for negligent disclosure failures in...
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FINRA Fines Deutsche Bank Securities Inc. $6 Million for Submitting...
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) today announced it has fined Deutsche Bank Securities Inc. $6 million for failing to provide complete and accurate trade data in an...
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Americans’ Financial Capability Growing Stronger, but Not for All Groups:...
*/ /*-->*/WASHINGTON — While Americans as a whole are feeling less financial stress, making ends meet remains a daily struggle for millions — particularly women, millennials, African-Americans,...
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John J. Brennan Elected Chairman of FINRA Board of Governors
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Board of Governors today unanimously elected John J. “Jack” Brennan, Vanguard Group Chairman Emeritus and Senior Advisor, as FINRA...
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FINRA Fines Prudential Annuities Distributors, Inc. $950,000 for Failing to...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Prudential Annuities Distributors, Inc. $950,000 for failing to detect and prevent a scheme that...
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FINRA Files Complaint Charging Broker With Fraudulently and Excessively...
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a complaint against broker Hank Mark Werner of Northport, New York, charging him with securities fraud...
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FINRA Fines Barclays Capital Inc. $1.3 Million for Extensive OATS Reporting...
FINRA announced today that it has fined Barclays Capital Inc. $1.3 million for systemic and significant Order Audit Trail System (OATS) reporting violations and related supervisory failures.
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FINRA Warns Investors About Boiler Room Scams
If You Get a Call Like This, Don’t Bite—and Don’t BuyWASHINGTON — Boiler room-style calls touting the next hot stock are alive and well, and they’re costing investors dearly, according to an Investor...
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FINRA Fines Deutsche Bank Securities Inc. $12.5 Million for Inadequate...
FINRA today announced it has fined Deutsche Bank Securities Inc. $12.5 million for significant supervisory failures related to research and trading-related information it disseminated to its employees,...
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FINRA Offers Tips for Retail Investors on Order Types
While most Americans understand the importance of saving and investing, many do not possess the basic financial knowledge needed to make sound financial decisions, according to a recent study released...
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