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FINRA Foundation Publishes In-depth Analysis of U.S. Investors
Survey Shows More Than Half of Respondents Use Financial Professionals, But Knowledge of Investment Concepts is Low and Generational Divides ExistWASHINGTON — The FINRA Investor Education Foundation...
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FINRA Enforcement Chief Brad Bennett Announces Departure
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that J. Bradley (Brad) Bennett will leave FINRA early next year. Bennett has served as FINRA’s Chief of Enforcement for...
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FINRA Fines Deutsche Bank $3.25 Million for Deficient Disclosures Concerning...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Deutsche Bank Securities Inc. $3.25 million for failing to provide the same information to all clients...
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FINRA Fines 12 Firms a Total of $14.4 Million for Failing to Protect Records...
Matters Reflect FINRA’s Focus on CybersecurityWASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined 12 firms a total of $14.4 million for significant...
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An Inherited IRA Has Important Tax and Estate Planning Implications
Different Rules and Options Apply to Spouses and Non-spousesWASHINGTON — A popular retirement savings vehicle for generations of investors, Individual Retirement Accounts (IRAs) provide tax-advantaged...
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FINRA Reports on Potential Implications of Blockchain; Seeks Comment
WASHINGTON — Distributed ledger technology (DLT), better known as blockchain, has garnered significant interest in the securities industry, with many market participants indicating a desire for...
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Gregory Dean Joins FINRA as Senior Vice President, Office of Government Affairs
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has named Gregory J. Dean, Jr. as its Senior Vice President for the Office of Government Affairs. Mr. Dean will...
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Josh Drobnyk Joins FINRA as Senior Vice President, Corporate Communications
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) announced today that it has named Josh Drobnyk as its Senior Vice President for Corporate Communications. Mr. Drobnyk will start at...
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FINRA Expels Lawson Financial and Bars CEO Robert Lawson for Fraudulent...
Lawson Misused Customer Funds and Breached Fiduciary Duties as a Co-Trustee of a Customer Trust AccountWASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has...
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FINRA Dispute Resolution Issues Status Report on Arbitration Task Force...
Action Taken on 35 of 51 Recommendations to Date
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FINRA Promotes Marcia E. Asquith to EVP, Board and External Relations; and...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that its Board of Governors has approved the promotion of Marcia E. Asquith to Executive Vice President, Board and...
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FINRA Hearing Panel Expels Red River Securities, LLC and Bars CEO Brian Keith...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel has expelled Plano, TX-based broker-dealer Red River Securities, LLC, barred its CEO Brian...
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FINRA Orders Purshe Kaplan Sterling Investments to Pay $3.4 Million in...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that Albany, New York-based Purshe Kaplan Sterling Investments (PKS) will pay nearly $3.4 million in restitution to a...
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FINRA’s Academic Corporate Bond TRACE Data Product Goes Live
WASHINGTON — FINRA today launched its new Academic Corporate Bond TRACE Data product, an enhanced historical data product available solely to institutions of higher education.
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FINRA Bars Registered Representative for Unauthorized and Unsuitable Trading...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former K.C. Ward Financial registered representative Craig David Dima for making unauthorized and...
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2017 FINRA Foundation Military Spouse Fellowship Application Now Open
Opportunity for Military Spouses to Earn A Career-Enhancing Credential While Providing Financial Readiness to Military Service Members and FamiliesWASHINGTON — Starting today, the FINRA Investor...
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FINRA Proposes Streamlining Competency Exams
New Securities Industry Essentials Exam Expands Entry Opportunities to the Securities IndustryWASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a...
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FINRA Appoints Nathaniel Stankard as Senior Advisor to the CEO
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) has announced the appointment of Nathaniel Stankard as Senior Advisor to the CEO, effective immediately. In his new position, Stankard...
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Binary Options Follow-Up Schemes: Don’t Lose Money Twice
Recovery Scams and IRS Impersonation Scams Are Common Cons
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FINRA Seeks Comment on Its Engagement Programs
Part of New Initiative to Evaluate Various Aspects of Operations and ProgramsWASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued a Special Notice seeking comment on how to...
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