FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA Enforcement Roundup: Husband and Wife Divert Funds to Buy Home
By Marlene Y. SatterThe SEC filed charges against a husband and wife, who are executives of China-based RINO International Corp., and FINRA fined and censured Deutsche Bank Securities for reporting failures.
May 10, 2013
SEC, FINRA: Beware pension, settlement income stream dealsIn a joint alert, investors were warned about what to do before buying or selling pension or settlement income streams.
May 10, 2013
SEC, FINRA: Beware Pension, Settlement Income Stream DealsIn a joint alert issued Thursday, the SEC and FINRA provide investors with information about what to do before buying or selling such rights and urge them to proceed with caution.
May 09, 2013
NASAA Joins FINRA in Fight Against Schwab Class-Action RulingState securities regulators are throwing their support behind FINRA in its battle to overturn a decision by its hearing panel that allowed Charles Schwab & Co. to block customer participation in class-action lawsuits.
May 08, 2013
FINRA Slams Three Firms for Anti-Money Laundering ViolationsFINRA announced Wednesday that it has fined three firms a total of $900,000 for failing to establish and implement adequate anti-money laundering programs and other supervisory systems to detect suspicious transactions.
May 02, 2013
SEC, FINRA Enforcement Roundup: City in California Charged With FraudAmong recent enforcement actions, the SEC went after the city of Victorville, Calif., for defrauding municipal bond investors. In addition, FINRA took action against John Thomas Financial for intimidation of its own staff.
May 02, 2013
SEC Exam Chief Di Florio Jumps to FINRA PostIn a surprising move, Carlo di Florio will leave the agency and become an executive vice president of FINRA.
April 30, 2013
FPA makes two big pushes in WashingtonThe FPA is well under way in putting its advocacy infrastructure in place, says FPA President Michael Branham.