FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FPA makes two big pushes in Washington
By Melanie WaddellThe FPA is well under way in putting its advocacy infrastructure in place, says FPA President Michael Branham.
April 15, 2013
FINRA Charges John Thomas Financial, CEO in Penny Stock ScamCEO Anastasios "Tommy" Belesis appeared in the film Wall Street 2: Money Never Sleeps.
April 12, 2013
Firm Accused of Bilking NFL, NBA PlayersFINRA said Thursday that it had levied a temporary cease-and-desist order against Success Trade Securities and its CEO for fraud involving 58 investors, many of them current or former NFL and NBA players.
April 09, 2013
FINRA’s Ketchum: Complex Products Still Need ‘Heightened Supervision’During the SEC's National Compliance Outreach Program for Broker-Dealers, Ketchum pointed to three areas that FINRA was focusing on.
April 05, 2013
Compliance Officers Behaving BadlyThe law firm Sutherland found a bevy of violations during its annual look at SEC and FINRA disciplinary actions on chief compliance officers and in-house counsel for BDs and advisory firms.
March 29, 2013
SEC, FINRA Enforcement Roundup: Hedge Fund Analyst, 2 Friends Charged With Insider TradingAmong other recent actions were sanctions and fines for HSBC and Scottrade.
March 14, 2013
Wirehouses Embrace FINRA Broker Bonus PlanThree wirehouses have given their OK to FINRAs plan to require that brokers recruitment packages be disclosed when they switch firms.
March 14, 2013
SEC, FINRA Enforcement Roundup: Phony Broker Charged for Soliciting $500MAmong recent actions by the SEC and FINRA were charges against a private equity firm, a former executive and an unregistered broker over some $500 million in improper investment solicitations.