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7 Feb 2018, 1:20 pm
FINRA recently issued investor guidance highlighting “Purchasing on Margin, Risks Involved with Trading in a Margin Account. [read post]
23 Aug 2010, 5:00 am
These were the subject of Regulatory Notice issued by FINRA earlier in the Summer. [read post]
13 Feb 2013, 7:00 am
Essentially, FINRA wants to ensure that BrokerCheck remains a key resource for investors. [read post]
9 Jan 2023, 10:06 am
Trujillo has three FINRA actions in his CRD. [read post]
28 Jul 2009, 2:03 pm
FINRA announced today that it fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $150,000 and UBS Financial Services, Inc. $100,000 for supervisory failures that led to unsuitable short-term sales of closed-end funds (CEF) purchased at the funds' initial public offerings.... [read post]
28 Jan 2010, 3:05 pm
The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation today announced $1 million in grants to launch four law school clinics that will provide legal help to underserved investors involved in securities disputes. [read post]
19 Aug 2010, 2:10 pm
FINRA fined HSBC Securities (USA) Inc. $375,000 for recommending unsuitable sales of inverse floating rate Collateralized Mortgage Obligations (CMOs) to retail customers. [read post]
1 May 2012, 2:22 pm
FINRA announced that it sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision... [read post]
7 May 2010, 11:21 am
Ketchum, FINRA Chairman & Chief Executive Officer, spoke today at the SIFMA Compliance & Legal Division's Annual Seminar in Washington, DC. [read post]
21 May 2010, 1:42 pm
The SEC posted on its website FINRA's proposed rule change, to amend Rules 12403 and 12404 of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and Rules 13403 and 13404 of the Code of Arbitration Procedure for Industry... [read post]
5 Oct 2009, 3:16 pm
FINRA announced the expansion of its two-year pilot program that gives investors who are filing eligible claims the opportunity to select an arbitration panel composed of three public arbitrators instead of two public and one non-public. [read post]
25 Jan 2012, 1:47 pm
FINRA fined Merrill Lynch, Pierce, Fenner & Smith $1 million for failing to arbitrate disputes with employees relating to retention bonuses. [read post]
30 Mar 2011, 1:54 pm
Journal reports that a FINRA arbitration panel ordered Robert M. [read post]
16 Jul 2020, 9:09 am
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for a virtual Compliance Outreach Program for Municipal Advisors. [read post]
20 Sep 2010, 12:12 pm
FINRA, in coordination with the Municipal Securities Rulemaking Board (MSRB), today issued a Regulatory Notice reminding municipal securities dealers of their sales practice, due diligence and fair pricing obligations when selling municipal securities in the secondary market. [read post]
22 Jul 2010, 10:00 am
FINRA has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges related to unsuitable unit investment trust (UIT), closed-end fund (CEF) and mutual fund transactions. [read post]
5 Jun 2011, 10:51 pm
Peter Schiff, head of Euro Pacific Capital, told The New York Post that Finra's attempts to implement new Congressional orders are hitting small brokerages harder than the big ones. [read post]
6 May 2010, 12:23 pm
FINRA has ordered Los Angeles-based Westpark Capital, Inc. to pay a total of $400,000 for supervisory system failures and has suspended two officers for failing to supervise brokers in two now-closed Long Island branches who churned customer accounts and engaged... [read post]
31 May 2011, 1:54 pm
FINRA announced today that it filed a complaint against David Lerner & Associates, Inc. [read post]
17 Apr 2009, 12:59 pm
On May 21, 2008, FINRA filed with the SEC a proposed rule change to amend certain provisions of NASD Rule 2821 (Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities). [read post]
