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FINRA

UBS-building

Finra arbitration panel orders UBS to pay for damages over Puerto Rico bond losses

28/03/2016(0)
Damages linked to the commonwealth’s distressed debt continue to climb UBS Group AG’s wealth management business for the Americas must pay more than $470,000 to three investors who claimed ... Read More
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FINRA and Nasdaq Fine Wedbush Securities Inc. $675,000 For Supervisory Violations Relating to Chronic Fails to Deliver by a Client in Multiple Exchange-Traded Funds

22/03/2016(0)
The Financial Industry Regulatory Authority (FINRA) and The Nasdaq Stock Market LLC (Nasdaq) announced today that they jointly censured and fined Wedbush Securities Inc. $675,000 for supervisory violations in ... Read More
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FINRA Bars Broker for Market Manipulation

23/02/2016(0)
Supervisor Barred from Supervising, Suspended and Fined; Additional Broker Sanctioned The Financial Industry Regulatory Authority (FINRA) announced that it has barred broker George Johnson from the securities industry for ... Read More
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FINRA Warns High-Yield CD Offers Can Be Bait for High-Commission Investments

11/02/2016(0)
Advertisements touting higher-than-average CD yields might actually be a lure to trick investors into buying costly investments, the Financial Industry Regulatory Authority said today in a new Investor Alert. “In ... Read More
Ketchum speaks during the Investment Company Institute's Capital Markets Conference in New York

Record number of brokers barred, suspended in 2015

07/01/2016(0)
A record number of punishments were levied against bad brokers in 2015 by the Financial Industry Regulatory Authority (Finra), the brokerage industry’s personal regulator. In 2015, 492 brokers were barred ... Read More
barclays

FINRA Sanctions Barclays Capital, Inc. $13.75 Million for Unsuitable Mutual Fund Transactions and Related Supervisory Failures

30/12/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Barclays Capital, Inc. to pay more than $10 million in restitution, including interest, to affected customers for ... Read More
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FINRA Sanctions Fidelity Brokerage Services LLC $1 Million for Supervisory Failures

21/12/2015(0)
Firm Failed to Follow Up on Red Flags to Detect or Prevent Theft of Funds From Senior Investors by Fraudster Posing as Fidelity Broker The Financial Industry Regulatory Authority ... Read More
brokers

Brokers Warned Not to Steer Clients’ Stock Trades Into Slow Lane

15/12/2015(0)
Brokers have been put on notice: treat your customers’ orders as well as you treat your own. The Financial Industry Regulatory Authority, Wall Street’s self-regulator, recently said firms using ... Read More
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FINRA: 3 Things to Keep in Mind if the Fed Raises Rates

15/12/2015(0)
As media stories report on a potential hike in the federal funds rate by the Federal Reserve, here are three things to keep in mind. First, while it is ... 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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