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FINRA

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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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Finra to Probe Broker Conflicts When Exchanges Offer Rebates

08/01/2015(0)
Some brokers might not be getting the best prices for clients when they send stock orders to exchanges that offer rebates, regulators said in an outline of annual oversight ... Read More
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Monex Fined Over Securities Sales

02/01/2015(0)
Regulator Says Firm Allowed Unregistered Employees to Sell Securities Monex Securities Inc. must give up the $1.1 million it made by allowing unregistered foreign employees to sell securities on ... Read More
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FINRA Sanctions Monex Securities Inc. $1.3 Million for Failing to Register and Supervise Foreign Personnel

31/12/2014(0)
Firm’s President Fined and Suspended The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Monex Securities Inc. to pay $1,100,000 in disgorgement of commissions, plus interest, ... Read More
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FINRA Fines Pershing LLC $3 Million for Customer Protection Rule Violations and Supervisory Failures

30/12/2014(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Pershing LLC $3 million for violating the Customer Protection Rule and for related supervisory failures. ... Read More
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FINRA Fines Wells Fargo Advisors and Wells Fargo Advisors Financial Network $1.5 Million for Anti-Money Laundering Failures

19/12/2014(0)
Firms Failed to Subject Over 200,000 New Accounts to Identity Verification The Financial Industry Regulatory Authority (FINRA) today announced that it has ordered two St. Louis-based broker-dealers under common ... Read More
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SEC and FINRA Warn Investors About Penny Stock Scams

31/10/2014(0)
The Securities and Exchange Commission’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) issued an alert warning investors that some penny stocks being aggressively ... Read More
Ketchum speaks during the Investment Company Institute's Capital Markets Conference in New York

Wall Street watchdog to pick insider as arbitration head

12/09/2014(0)
The Financial Industry Regulatory Authority has narrowed its search for a new head of its arbitration unit to two of its own long-time officials, according to a person familiar ... Read More
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