Hedge Fund Fined for Taking Investor Money to Support Other Funds: Enforcement
And FINRA fined Wells Fargo Securities $3.25 million for failing to report all of its reportable conventional options positions.
FINRA Fines Edward Jones for Supervisory Failures
The broker-dealer issued some 52 million client reports without required supervision, the regulator says.
FINRA Earnings Rise as Fines Soar
Fines rise 85%; pay stays close to $1 million and higher for at least four execs.
FSI Shares Views, Case Studies on Outside Business Activities
More input from independent advisors and brokers-dealers is also sought by the Financial Services Institute.
Merrill to Pay Fine Over Trading, Disclosure Issues
More than 1,000 trades were not executed to get clients the best prices, and investors didn't get compensation info on thousands of trades.
FINRA to Clamp Down on High-Risk Brokers With Tougher Rules
The group is looking to raise fees, consider more severe sanctions and further restrict firm and advisors with disciplinary issues.
FINRA’s 6 Steps to Recovery for Fraud Victims
The industry group outlines the details of what investors can do after being affected by financial crime.
CFA Institute Blasts Senate’s Move to Block Auto-Enrollment Retirement Plans
State plans being affected by the resolution stood to benefit some 63 million American workers who lack access to retirement plans, CFA Institute says.
FINRA to Protect Senior Investors With 2 New Rules
FINRA says temporary holds and extra contact information are critical to preventing financial abuse.
‘Myth Busting’ Ex-Broker to Pay Dating Guru $1M
A FINRA panel has ruled that radio host Dawn Bennett is required to compensate the former client for losses and expenses.