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18 Jan 2012, 2:05 pm
FINRA fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports and research analysts' public appearances. [read post]
17 Dec 2009, 2:43 pm
FINRA recently issued a regulatory notice on Principal-Protected Notes to remind firms of their sales practice obligations relating to principal-protected notes. [read post]
6 Apr 2010, 12:56 pm
In its first enforcement action involving a broker-dealer stock borrow program, the Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $650,000 for disclosure and supervisory violations relating to the operation of its Direct... [read post]
30 Apr 2012, 11:56 am
A FINRA hearing officer expelled Pinnacle Partners Financial, Corp., a broker-dealer based in San Antonio, TX, and barred its President, Brian Alfaro, for fraudulent sales of oil and gas private placements and unregistered securities. [read post]
15 Jul 2009, 1:57 pm
According to Investment News, the Investment Company Institute and ETF firms call on FINRA to withdraw its June 29 Regulatory Notice 9-31 that warned brokers that inverse and leverage exchange traded funds "typically are unsuitable for retail investors" who hold... [read post]
4 Oct 2011, 12:10 pm
FINRA has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million for supervisory failures that allowed a registered representative at Merrill Lynch's branch office in San Antonio, Texas, to use a Merrill Lynch account to operate a Ponzi scheme.... [read post]
29 Nov 2011, 11:55 am
FINRA sanctioned eight firms and 10 individuals and ordered restitution totaling more than $3.2 million, for selling interests in private placement offerings without having a reasonable basis for recommending the securities. [read post]
23 Jul 2009, 3:53 pm
FINRA announced today that it fined five bank broker-dealers a total of $1.65 million for deficient supervision and procedures related to variable annuity (VA), mutual fund or unit investment trust (UIT) transactions. [read post]
14 Oct 2015, 12:00 pm
The Financial Industry Regulatory Authority (FINRA) is introducing new rule proposals that would let financial advisers pause orders if they suspected there to be any financial exploitation of senior investors. [read post]
23 Jan 2013, 12:54 pm
FINRA announced that it has filed for a Temporary Cease-and-Desist Order against Westor Capital Group, Inc. and its President, Chief Compliance Officer and Financial and Operations Principal, Richard Hans Bach, to immediately stop the further misappropriation and misuse of customer... [read post]
4 Mar 2013, 12:45 pm
FINRA fined Ameriprise Financial Services, Inc. and its affiliated clearing firm, American Enterprise Investment Services Inc. [read post]
22 Jun 2010, 2:49 pm
FINRA said that retail securities firm Jesup & Lamont Securities Corp. is out of compliance with net capital rules and ordered it to cease business. [read post]
4 Jun 2012, 1:34 pm
A FINRA hearing panel ruled that Brookstone Securities and the firm's Owner/CEO Antony Turbeville and one of the firm's brokers, Christopher Kline, made fraudulent sales of collateralized mortgage obligations (CMOs) to unsophisticated, elderly and retired investors. [read post]
4 Jan 2010, 4:27 pm
Yet Investment News reports that a FINRA arbitration panel in California awarded $320,000 in compensatory damages and $960,000... [read post]
4 Mar 2010, 11:26 am
The National Adjudicatory Council (NAC) of the Financial Industry Regulatory Authority (FINRA) issued a ruling today dismissing charges that Kenneth Pasternak, former CEO of Knight Securities, L.P., and John Leighton, former head of the firm's Institutional Sales Desk, were responsible... [read post]
9 Aug 2011, 2:35 pm
The FINRA fined Citigroup Global Markets, Inc. $500,000 for failing to supervise Tamara Moon, a former registered sales assistant at the firm's branch office in Palo Alto, California. [read post]
15 Sep 2009, 12:26 pm
A FINRA Hearing Panel has barred John Edward Mullins, a former registered representative with Morgan Stanley DW, Inc., for misappropriating $11,156.47 from the charitable foundation of a 97-year old nursing home resident and widow who was his client for more... [read post]
30 Jun 2009, 1:07 pm
FINRA announced that it has fined ICAP Corporates LLC, of Jersey City, $2.8 million and sanctioned a former broker for numerous improper communications with other interdealer brokerage firms about customers' proposed brokerage rate reductions in the wholesale credit default swap... [read post]
2 Nov 2010, 3:23 pm
FINRA recently released Regulatory Notice 10-57, dealing with Funding and Liquidity Risk Management Practices. [read post]
6 Nov 2010, 5:48 am
The SEC posted on its website FINRA's proposed rule change to give investors the option of selecting an all-public arbitrator panel in all customers' disputes with their securities firms and associated persons. [read post]
