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Regulation

Merrill Lynch Fined $2.8 Million by FINRA for Reporting Violations

  • A large part of the transmitted information was deemed inaccurate.
Tuesday, 18/10/2016 | 16:32 GMT by Aziz Abdel-Qader
Regulation

FINRA Warns Investors Against ‘Follow-Up’ Scams

  • People who have already lost money to one scam should now be wary of a new fraud.
Monday, 19/09/2016 | 16:48 GMT by Aziz Abdel-Qader
Regulation

FINRA Levies $12.5 M Fine on Deutsche Bank for Inadequate Supervision over ‘hoots'

  • The industry-backed watchdog fined Deutsche Bank over possible unauthorized access to material non-public information.
Monday, 08/08/2016 | 15:42 GMT by Aziz Abdel-Qader
Regulation

FINRA Publishes Guide on How to Detect a Boiler Room Scam

  • The Financial Industry Regulatory Authority has issued an Investor Alert about boiler room scams following numerous complaints.
Thursday, 04/08/2016 | 15:09 GMT by Finance Magnates Staff
Regulation

FINRA Levies $1.3m Fine on Barclays Capital for Supervisory Failures

  • Regulatory lapses across Barclays Capital's Order Audit Trail System have resulted in a fine from FINRA.
Wednesday, 03/08/2016 | 17:22 GMT by Jeff Patterson
Regulation

FINRA Charges Hank Mark Werner with Churning Customer Accounts

  • A FINRA registered broker-dealer lands on the regulator's 'bad guys' list for rampant churning of customer accounts.
Monday, 01/08/2016 | 17:00 GMT by Aziz Abdel-Qader
Executive Moves

FINRA Taps Vanguard's John Brennan as Chairman

  • Mr. Brennan will join FINRA in the second half of 2016 from Vanguard Group.
Friday, 15/07/2016 | 19:36 GMT by Aziz Abdel-Qader
Regulation

FINRA Releases National Financial Capability Study of 27000 US Adults

  • The study released by FINRA shows US consumer trends in finance-related categories.
Tuesday, 12/07/2016 | 19:23 GMT by Steven Hatzakis
Regulation

FINRA Levies $6 Million Fine on Deutsche Bank For Late “Blue Sheets”

  • FINRA fines Deutsche Bank AG's securities arm for submitting inaccurate and late trade data.
Wednesday, 29/06/2016 | 20:14 GMT by Aziz Abdel-Qader
Regulation

Merrill Lynch Fined $425m For Misleading Investors and Misusing Assets

  • SEC and FINRA launched a crackdown on Merrill Lynch which will pay more than $400 million to settle several violations.
Thursday, 23/06/2016 | 23:57 GMT by Aziz Abdel-Qader
Exchanges

FINRA Slaps $900K Fine on E*Trade for Execution Failings

  • FINRA ruled that E*Trade’s customer orders to exchanges and market centers were not executed in a proper fashion.
Thursday, 02/06/2016 | 16:01 GMT by Jeff Patterson
Regulation

FINRA and SFC Sign MoU Amid Decline for Banker's Expat Perks in Hong Kong

  • FINRA and SFC agree on cross-border synergy amid other trends evident in Hong Kong.
Friday, 20/05/2016 | 09:58 GMT by Steven Hatzakis
Regulation

FINRA Charges Lawson Financial Corp With Charitable Securities Fraud

  • FINRA has unearthed a multi-million dollar case of securities fraud, issuing a complaint against Lawson Financial Corporation.
Thursday, 19/05/2016 | 19:00 GMT by Jeff Patterson
Regulation

FINRA Levies $17 Million Fine on Raymond James for AML Compliance Failures

  • The fine was imposed as a result of systematic failures in the firms' anti-money laundering procedures.
Wednesday, 18/05/2016 | 15:55 GMT by Finance Magnates Staff
Regulation

SEC Calls For Reporting Of Treasury Cash Market Transactions

  • The request is aimed at safeguarding the deepest and most liquid securities market in the world.
Tuesday, 17/05/2016 | 19:29 GMT by Finance Magnates Staff
Brokers

Interactive Brokers CEO Predicts More Consolidation in US Brokerage Industry

  • One of the pioneers of electronic trading has stated in an interview that the industry is ripe for consolidation
Tuesday, 17/05/2016 | 17:31 GMT by Victor Golovtchenko
Regulation

FINRA Issues Cross-Market Report Cards To Halt Spoofing and Layering

  • New equities supervision reports help firms identify potential market manipulation.
Thursday, 28/04/2016 | 19:03 GMT by Finance Magnates Staff
Regulation

Wedbush Securities Fined $675K by FINRA and Nasdaq

  • The fine follows the $3 million censure of one of its customers, Scout Trading LLC.
Monday, 21/03/2016 | 13:31 GMT by Steven Hatzakis
Exchanges

Dark Pool Dive: Beyond BarCap and Credit Suisse Fines

  • Neither wrongdoing nor regulation seems to put off the buy side from dark trading. 
Friday, 05/02/2016 | 18:10 GMT by Anna Reitman
Regulation

FINRA Slaps $1 Million Fine on Fidelity Brokerage for Oversight Failures

  • Fidelity Brokerage drew a collective fine of in excess of $1 million for failing to detect or prevent the theft of a similar amount.
Friday, 18/12/2015 | 15:40 GMT by Jeff Patterson
Executive Moves

FINRA Names Former Fed CEO, Charles I. Plosser, to its Board of Governors

  • Over his career, Mr. Plosser has worked as a senior consultant to several corporations in various sectors of the financial industry.
Friday, 18/12/2015 | 11:00 GMT by Jeff Patterson
Execution

FINRA Levies $1.8 Million Fine on Goldman Sachs Subsidiary

  • FINRA’s latest order stems from a systemic Order Audit Trail System (OATS) reporting violation at Goldman Sachs
Tuesday, 28/07/2015 | 13:06 GMT by Jeff Patterson
Regulation

Two More Companies Slapped With FINRA Fines

  • Morgan Stanley Smith Barney (Morgan Stanley) and Scottrade have been penalised for lacking robust supervisory systems .
Monday, 22/06/2015 | 18:13 GMT by Andy Traveller
Regulation

FINRA Proposes Broker Information Disclosure on Recruitment Practices

  • FINRA has unveiled a second-generation proposal for investors to help elicit information from brokers on recruitment practices.
Thursday, 28/05/2015 | 11:49 GMT by Jeff Patterson
Regulation

FINRA’s NAC Revises Sanction Guidelines in Effort to Mitigate Fraud

  • FINRA National Adjudicatory Council has made a number of key revisions to its Sanction Guidelines, helping stamp out fraud.
Tuesday, 12/05/2015 | 16:34 GMT by Jeff Patterson
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