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FINRA

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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 warns that trading Binary Options can be extremely risky

27/10/2015(0)
The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert, Binary Options: These All-Or-Nothing Options Are All-Too-Often Fraudulent. FINRA published the alert to warn investors that trading binary ... Read More
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FINRA Sanctions 12 Firms a Total of $6.7 Million

21/10/2015(0)
More than $4 Million in Restitution Ordered to Affected Customers The Financial Industry Regulatory Authority (FINRA) has issued an announcement to inform that: That it has ordered 12 firms ... 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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Securities broker dealer for bankruptcy liquidation amid legal claims

25/09/2015(0)
An 82-employee securities broker-dealer has shut down and filed for Chapter 7 bankruptcy liquidation after customers asked a federal judge to enforce a $1.54 million arbitration award. Fintegra’s Sept. ... 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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