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FINRA

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FINRA named new Senior Vice President for Corporate Communications

01/02/2017(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has named Josh Drobnyk as its Senior Vice President for Corporate Communications. Mr. Drobnyk will start at FINRA on ... Read More
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FINRA reports on potential Implications of Blockchain in the securities industry

19/01/2017(0)
Distributed ledger technology (DLT), better known as blockchain, has garnered significant interest in the securities industry, with many market participants indicating a desire for increased regulatory engagement as they ... Read More
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FINRA Fines Deutsche Bank $3.25 Million

19/12/2016(0)
FINRA Fines Deutsche Bank $3.25 Million for Deficient Disclosures Concerning the Operation of Its Alternative Trading System The Financial Industry Regulatory Authority (FINRA) announced today that it has fined ... Read More
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FINRA Foundation Publishes In-depth Analysis of U.S. Investors

15/12/2016(0)
The FINRA Investor Education Foundation (FINRA Foundation) announced today the results of its Investors in the United States 2016 report, which provides a detailed analysis of 2,000 survey respondents ... Read More
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FINRA fined Credit Suisse Securities USA $16.5 million for AML and other violations

06/12/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Credit Suisse Securities (USA) LLC $16.5 million for anti-money laundering (AML), supervision and other violations. FINRA found ... Read More
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FINRA Sanctions Merrill Lynch $7 Million

01/12/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc. $6.25 million and the firm will pay approximately $780,000 in ... Read More
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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 Merrill Lynch $2.8 Million

19/10/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner and Smith Inc. $2.8 million for systemic trade reporting, Order Audit Trail System ... Read More
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FINRA fines financial services company $850,000

19/09/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced that it has fined Ameriprise Financial Services, Inc. $850,000 for failing to detect the conversion of more than $370,000 from five customer ... Read More
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