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FINRA

Logos of Deutsche Bank AG are seen in Tokyo

FINRA Fines Deutsche Bank Securities Inc. $12.5 Million for Inadequate Supervision of Internal Communications

09/08/2016(0)
The Financial Industry Regulatory Authority (FINRA) today announced it has fined Deutsche Bank Securities Inc. $12.5 million for significant supervisory failures related to research and trading-related information it disseminated ... Read More
Barclays

Barclays fined $1.3 Million for failures and violations

04/08/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Barclays Capital Inc. $1.3 million for systemic Order Audit Trail System (OATS) reporting violations and related supervisory ... Read More
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FINRA Fines Deutsche Bank Securities Inc. $6 Million

30/06/2016(0)
The Financial Industry Regulatory Authority (FINRA) today announced it has fined Deutsche Bank Securities Inc. $6 million for failing to provide complete and accurate trade data in an automated ... Read More
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FINRA Announces CEO Transition

14/06/2016(0)
The Financial Industry Regulatory Authority (FINRA) today announced that its Board of Governors has concluded the CEO search, and appointed Robert W. Cook as President and Chief Executive Officer, ... Read More
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FINRA fined full-service investment firm $2.9 Million

09/06/2016(0)
FINRA Sanctions Oppenheimer & Co. $2.9 Million for Unsuitable Sales of Non-Traditional ETFs and Related Supervisory Failures The Financial Industry Regulatory Authority (FINRA) announced today that it has fined ... Read More
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FINRA Fines Raymond James $17 Million for Systemic Anti-Money Laundering Compliance Failures

19/05/2016(0)
Former AML Compliance Officer Fined and Suspended The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Raymond James & Associates, Inc. (RJA) and Raymond James Financial ... Read More
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FINRA fined MetLife Securities, Inc. $25 Million

04/05/2016(0)
Largest FINRA Fine Relating to Variable Annuities The Financial Industry Regulatory Authority (FINRA) announced today that it has fined MetLife Securities, Inc. (MSI) $20 million and ordered it to ... Read More
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FINRA: New Data on OTC Equity Trading Now Available

27/04/2016(0)
The Financial Industry Regulatory Authority (FINRA) today announced that expanded data on over-the-counter (OTC) trading in equity securities is now live, extending FINRA’s trading-volume transparency to all of the OTC market. ... Read More
finra1

Five tips on How Investors Can Avoid Getting Fooled

04/04/2016(0)
The Financial Industry Regulatory Authority (FINRA) offers five tips to help investors avoid being tricked out of their money. “April 1st is a day to indulge in silly hoaxes ... Read More
deutsche-bank

Deutsche Bank agrees to pay $4 mln for trading violations

31/03/2016(0)
A Deutsche Bank AG unit will pay more than $4 million to settle allegations that it failed to properly report data on millions of options trades, according to a ... Read More
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