FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA Enforcement: Edward Jones Fined for AML Failures
By Marlene Y. SatterMeanwhile, the SEC fined International Capital Group for selling penny stocks and making stock-based loans without registering as a BD.
January 15, 2015
SEC, FINRA Enforcement: Franklin Resources, Chairman Sued for $150M Over Long-Ago Stock BequestIn another action, FINRA expelled a firm for stock manipulation and barred its CEO, who looted the firm to pay for tattoos and pet care.
January 09, 2015
FINRA Bars CEO Who Appeared in ‘Wall Street 2’, Expels His FirmA panel barred Tommy Belesis, who appeared in the "Wall Street" film sequel, and expelled his firm for violations around a stock sale.
January 08, 2015
Time to Reform FINRA: Mercatus PaperA paper from the Mercatus Center's Hester Peirce argues that FINRA exhibits a troubling independence from government, industry and the public.
January 08, 2015
FINRA Enforcement: Monex Fined for Letting Unregistered Reps Advise Clients in MexicoMeanwhile, Merrill was fined $300,000 for supervisory failures.
January 06, 2015
FINRA’s Top Exam Priorities for 2015FINRA calls BDs failure to put clients first a recurring challenge in its 2015 priorities report.
January 06, 2015
Finra to probe broker conflicts when exchanges offer rebatesThe SEC has been looking into rebates and other incentives that influence where brokers send client orders.
January 06, 2015
Finra to probe broker conflicts when exchanges offer rebatesThe SEC has been looking into rebates and other incentives that influence where brokers send client orders.