Citigroup to Pay $15M FINRA Fine Over Research Leaks
Analysts' violations included illicitly helping issuers prep for road shows and hosting "idea dinners" discussing stock picks with certain clients.
FINRA Fines Barclays, Merrill, Goldman Over Inaccurate ‘Blue Sheet’ Data
FINRA fined the banks $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers.
VP in Conflicts Office at J.P. Morgan Securities Barred for Leaking Inside Info
“Gutman had the keys to the kingdom through his position at J.P. Morgan as a gatekeeper with special access to material, nonpublic information,” FINRA says.
SEC, FINRA Warn of Email ‘Pump-and-Dump’ Stock Schemes
Latest McAfee Threats Report confirms “a steep rise” in spam email linked to “pump-and-dump” stock schemes designed to trick unsuspecting investors.
FINRA Enforcement Roundup: Hudson Valley CEO Barred Over Sneaky Day Trading, Fraud
Mark Gillis, the CEO of New York-based Hudson Valley Capital Management, was barred and his company expelled from the securities industry for defrauding its clearing firm and customers.