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Financial Industry Regulatory Authority (FINRA)

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FINRA Orders Wells Fargo, Raymond James, and LPL Financial to Pay More Than $30 Million

07/07/2015(0)
FINRA Orders Wells Fargo, Raymond James, and LPL Financial to Pay More Than $30 Million in Restitution to Retirement Accounts and Charities Overcharged for Mutual Funds The Financial Industry ... Read More
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Study: Penalties Levied by Financial Watchdogs Spiked in 2014

02/07/2015(0)
Financial regulators in the United States, United Kingdom, and Hong Kong have decreased their agency expenditures but increased the penalties they’ve levied, according to a new report by regulatory, ... Read More
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SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies

08/05/2015(0)
The Securities and Exchange Commission today approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) for a two-year pilot program that would widen ... Read More
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FINRA Sanctions Three Firms for Inadequate Supervision of Consolidated Reports

31/03/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has sanctioned three firms – H. Beck, Inc., LaSalle St. Securities, LLC, and J.P. Turner & Company, LLC – ... Read More
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FINRA Sanctions Oppenheimer & Co. $3.75 Million for Supervisory Failures

27/03/2015(0)
Firm Fined $2.5 Million and Ordered to Pay Restitution of $1.25 Million for Failing to Supervise Former Oppenheimer Broker Mark Hotton The Financial Industry Regulatory Authority (FINRA) announced today ... Read More
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FINRA Sanctions First New York Securities L.L.C. $916,000 for Illegal Short Selling in Advance of 14 Public Offerings

26/03/2015(0)
Firm Fined $400,000 and Ordered to Pay More Than $500,000 in Disgorgement; Prohibited From Participating in Secondary Offerings for Six Months The Financial Industry Regulatory Authority (FINRA) announced today ... Read More
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