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FINRA Fines Ameriprise Financial Services, Inc. $850,000 for Failing to...
Office Manager Took $370,000 From Own Family’s Brokerage Accounts
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One Small-Firm Industry Governor Elected to FINRA Board, Two New Governors...
WASHINGTON —The Financial Industry Regulatory Authority (FINRA) announced the results of voting that took place at its 2016 Annual Meeting today in Washington, D.C. In accordance with FINRA By-Laws,...
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Victims of "Recovery" Scams Find it Difficult to Recoup Losses
FINRA Provides Information and Assistance to InvestorsWASHINGTON — Investors should beware of offers to recover money lost from securities investments for an upfront fee, according to an Investor Alert...
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FINRA Hearing Panel Sanctions Avenir Financial Group and Bars Former CEO...
Firm Fined $229,000, Ordered to Offer Rescission to Defrauded Investors, and Suspended Two Years From Engaging in Self-Offerings; Registered Representative Suspended Two Years
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FINRA Publishes ATS Block-Size Trade Data
WASHINGTON — Beginning today, FINRA is expanding its alternative trading system (ATS) transparency initiative by publishing monthly information on block-size trades occurring on ATSs. The data is...
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SEC, FINRA and the MSRB to Hold Compliance Outreach Program for Municipal...
WASHINGTON — The Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) today announced the opening of...
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FINRA Fines Merrill Lynch $2.8 Million for Systemic Reporting, Books and...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner and Smith Inc. $2.8 million for systemic trade reporting, Order Audit...
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FINRA Receives SEC Approval to Require Member Firms to Report Treasury...
Implementation Date Set for July 10, 2017WASHINGTON — The Securities and Exchange Commission has approved FINRA’s proposal to require its members to report certain transactions in Treasury Securities...
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FINRA Files Rule Proposal With SEC to Protect Seniors and Other Vulnerable...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) submitted to the Securities and Exchange Commission (SEC) proposed rules addressing the financial exploitation of seniors and other...
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FINRA Fines Eight Firms a Total of $6.2 Million for Supervisory Failures...
Five Firms Ordered to Pay More than $6 Million to Customers
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FINRA Names Stephen M. Cutler to Board of Governors
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) has named a new Large-Firm Governor – Stephen M. Cutler, Vice Chairman of JPMorgan Chase & Co. – to its Board of Governors. Cutler...
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Study Finds 1 in 3 Student Loan Holders With Payments Due Are Late With...
Data Shows Many Borrowers Don’t Understand Loans They ObtainWASHINGTON — Nearly half of young Americans start their working lives with student debt, and 43 million Americans carry student loans. A new...
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FINRA Sanctions Oppenheimer & Co. $3.4 Million for Reporting Violations,...
$1.85 Million Paid to CustomersWASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co. Inc. $1.575 million and ordered the firm to pay...
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FINRA Receives SEC Approval for Enhanced Price Disclosure to Retail Investors...
FINRA Receives SEC Approval for Enhanced Price Disclosure to Retail Investors for Fixed-Income Securities
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FINRA Fines VALIC Financial Advisors, Inc. $1.75 Million for Failure to...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Houston-based VALIC Financial Advisors, Inc. (VFA), a total of $1.75 million for failing to identify...
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FINRA Sanctions Merrill Lynch $7 Million for Inadequate Supervision of...
Restitution Also Paid to 22 Customers Who Were Highly Concentrated and Highly Leveraged in Puerto Rican Securities WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that...
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FINRA Fines Credit Suisse Securities (USA) LLC $16.5 Million for Significant...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Credit Suisse Securities (USA) LLC $16.5 million for anti-money laundering (AML), supervision and...
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FINRA Seeks Information from Former Registered Bank Employees of Wells Fargo
WASHINGTON, DC – The Financial Industry Regulatory Authority (FINRA) has asked former Wells Fargo bank employees whose securities registrations were terminated to contact FINRA if they have concerns...
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