FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Bars Advisor Over Nontraded REIT Sales
By Janet LevauxGary Chackman worked in the business for 22 years, including time with LPL Financial, AXA and Summit.
December 17, 2013
FINRA Creates Investor Issues CommitteeThe committee will advise senior FINRA staffers on proposed rulemaking and policy initiatives. Barbara Roper is one member.
December 09, 2013
FINRA Fines Oppenheimer & Co., Trader for Overcharging on Muni TradesOppenheimer, through its head trader, charged excessive markups on 89 transactions, FINRA says.
December 06, 2013
SEC, FINRA Enforcement: UBS, Merrill Fined for Disclosure FailuresMeanwhile, FINRA slapped J.P. Turner for unsuitable ETF sales, and the SEC charged a Miami trader with shorting a Chinese company ahead of its offering.
December 04, 2013
FINRA bars two brokers for theft from an elderThe agency says the brokers stole $300,000 from a senior with diminished mental capacity."
December 03, 2013
FINRA Bars Brokers for Fleecing Elderly WidowThe two brokers took $300,000 from a widow with diminished mental capacity, FINRA said.
November 12, 2013
FINRA Expands BrokerCheckInvestors can now search both the BrokerCheck and IARD record of any securities professional or firm directly on the FINRA home page.
November 06, 2013
FINRA Fines TD Ameritrade Clearing $1.2M for Options Trading ViolationsTimely and complete information "about large options positions is necessary to conduct market surveillance and to protect the integrity of the marketplace," FINRA says.