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FINRA

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News |Regulatory |FINRA | May 23 2017

FINRA Reviews Rules on Outside Business Activities and Private Securities Transactions

The Financial Industry Regulatory Authority is requesting comment on its rules governing outside business activities and private securities transactions as part of a new…

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SEC, FINRA Announce National Compliance Outreach Program for Broker-Dealers

The Securities and Exchange Commission and the Financial Industry Regulatory Authority are holding their National Compliance Outreach Program for Broker-Dealers on July 27 and will…

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FINRA Fines Purshe Kaplan for Overcharging Native American Tribe

The Financial Industry Regulatory Authority has ordered broker-dealer Purshe Kaplan Sterling Investments to pay nearly $3.4 million in restitution to the Saginaw Chippewa Indian…

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FINRA Suspends Former LPL Broker for Unsuitable BDC Sales

The Financial Industry Regulatory Authority suspended a former LPL Financial broker for one year for allegedly engaging in unsuitable non-traded BDC sales and overstating the net…

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FINRA Fines Massachusetts BD $300,000 for Failing to Disclose Customer Complaints

The Financial Industry Regulatory Authority fined Massachusetts broker-dealer, Citizens Securities, $300,000 for allegedly failing to report certain disclosable events, according to…

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FINRA Punishes Former Transamerica Broker for Unsuitable Non-Traded REIT Sales

The Financial Industry Regulatory Authority suspended and fined a former Transamerica broker for allegedly exceeding REIT concentration limits and other violations, according to a…

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News |Regulatory |FINRA | Dec 22 2016

LPL and 11 other Broker-Dealers Fined for Poor Customer Record Protection

The Financial Industry Regulatory Authority fined 12 firms a total of $14.4 million for what they claim are significant deficiencies relating to the preservation of broker-dealer…

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FINRA Fines Broker-Dealer for Exceeding REIT Concentration Limits

The Financial Industry Regulatory Authority fined Foothill Securities, an independent broker-dealer, $30,000 for allegedly exceeding concentration guidelines relating to non-traded…

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FINRA Orders Broker-Dealer to Pay Close to $1 Million for Illiquid Investment Sales

FINRA ordered Mid Atlantic Capital Corporation, an independent broker-dealer, to pay $922,500 to two retirement age investors following an arbitration dispute against the firm…

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FINRA Bars Broker for Falsifying Expense Reports

The Financial Industry Regulatory Authority barred a Morgan Stanley Smith Barney broker for allegedly falsifying expense reports, according to a letter of…

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News |Regulatory |FINRA | Nov 28 2016

FINRA Fines Broker for Attempting to Cheat on Series 7 Exam

The Financial Industry Regulatory Authority fined a Scottrade broker for allegedly accessing study materials and notes while taking the series 7 examination in…

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FINRA Permanently Bars Rep for Liquidating His Parents’ Investment Accounts

The Financial Industry Regulatory Authority permanently barred former Wadell & Reed advisor Gregory R. Bauer for withdrawing more than $400,000 from his parents’...

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Sutherland Attorney: FINRA Fines May Propel 2016 to Record-Setting Year

A dramatic increase in the fines reported so far in 2016 has the Financial Industry Regulatory Authority set to shatter its recent record-setting…

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FINRA Orders Cetera Broker-Dealer to Pay Over $1 Million in Fines and Restitution

The Financial Industry Regulatory Authority fined Investors Capital Corporation, a broker-dealer within the Cetera Financial Group network…

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News |Regulatory |FINRA | Sep 21 2016

FINRA Fines Ex-Broker For Attempting to Bribe Exam Proctor

The Financial Industry Regulatory Authority slapped a former broker with a two-year suspension and a $10,000 fine for allegedly attempting to bribe an…

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News |Regulatory |FINRA | Sep 15 2016

FINRA Fines Ameriprise $850,000 for Broker Stealing from His Family

The Financial Industry Regulatory Authority has fined Ameriprise Financial Services, Inc. $850,000 for failing to detect that one of their registered…

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FINRA Seeks Public Comment on Changes to Gifts, Non-Cash Compensation Rule

The Financial Industry Regulatory is proposing amendments to the gifts, gratuities and non-cash compensation rules to consolidate the rules under a single rule series…

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FINRA to Conduct Sweep of Non-Traded BDCs

The Financial Industry Regulatory Authority is conducting an inquiry into non-traded business development companies, according to a targeted exam letter issued by…

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News |Company |Regulatory |FINRA | Jul 20 2016

FINRA Fines Prudential Annuities Nearly $1 Million for Account Theft by LPL Employee

The Financial Industry Regulatory Authority, the largest independent regulator for all securities firms doing business in the U.S., fined Prudential Annuities Distributors Inc…

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News |Company |Regulatory |FINRA | Jul 18 2016

FINRA Board of Governors Elects Vanguard’s John Brennan as Chairman

The Financial Industry Regulatory Authority, the largest independent regulator for all securities firms doing business in the U.S., announced that its board of governors unanimously…

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