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Financial Industry Regulatory Authority (FINRA)

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FINRA fines investment firm for $3.4 Million

23/11/2016(0)
FINRA Sanctions Oppenheimer & Co. $3.4 Million for Reporting Violations, Failing to Comply With Discovery Obligations in Arbitrations, and Other Supervisory Failures The Financial Industry Regulatory Authority (FINRA) announced ... Read More
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FINRA Fines E*Trade Securities $900,000

03/06/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced that it has censured and fined E*Trade Securities LLC $900,000 for failing to conduct an adequate review of the quality of execution ... Read More
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FINRA Fines Deutsche Bank Securities Inc. $1.4 Million

20/11/2015(0)
FINRA Fines Deutsche Bank Securities Inc. $1.4 Million for Violating Regulation SHO and Short Interest Reporting Rules The Financial Industry Regulatory Authority (FINRA) announced today that it has fined ... Read More
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FINRA fines Scottrade $2.6 Million

17/11/2015(0)
FINRA Fines Scottrade $2.6 Million for Significant Failures in Required Electronic Records and Email Retention The Financial Industry Regulatory Authority (FINRA) announced today that it fined Scottrade, Inc. $2.6 ... Read More
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FINRA Sanctions Santander Securities LLC $6.4 Million

14/10/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it ordered Santander Securities LLC to pay approximately $4.3 million in restitution to certain customers who were solicited to purchase ... Read More
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FINRA Sanctions 10 Former Global Arena Representatives

16/09/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced that as a result of a 2014 onsite exam, it found securities violations including various misleading sales pitches, customer account churning and ... Read More
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FINRA Issues Investor Alert, Messaging Apps Are Latest Platform for Delivering Pump-And-Dump Scams

04/09/2015(0)
The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Messaging Apps Are Latest Platform for Delivering Pump-And-Dump Scams. FINRA’s new Alert warns investors to be wary of ... Read More
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FINRA Fines Charles Schwab & Co., Inc. $2 Million for Net Capital Deficiencies

25/08/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Charles Schwab & Co., Inc. $2 million for net capital deficiencies and for related supervisory ... Read More
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FINRA Fines StockCross Financial Services, Inc. $800,000 for Regulation SHO Violations

14/08/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined StockCross Financial Services, Inc. $800,000 for Regulation SHO violations and for related supervisory violations that spanned more ... Read More
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FINRA Bars Former Caldwell Broker for Churning Customer Accounts

10/08/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has permanently barred Richard Adams, a former registered representative of Caldwell International Securities Corp., from the securities industry for ... Read More
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