FINRA announced today that it has censured and fined Charles Schwab & Co., Inc. $2 million for net capital deficiencies and for related supervisory failures.
News Releases & Statements
Fifty military spouses throughout the United States and overseas have been awarded the FINRA Investor Education Foundation's 2015 Military Spouse Fellowship.
FINRA announced today that it has fined StockCross Financial Services, Inc. $800,000 for Regulation SHO violations and for related supervisory violations that spanned more than three years.
FINRA announced today that it has permanently barred Richard Adams, a former registered representative of CISC, Inc., from the securities industry for churning customers’ accounts and other securities rule violations.
FINRA announced today that it has fined Aegis Capital Corp. $950,000 for improperly selling unregistered penny stocks and for related supervisory failures, and for failing to implement anti-money laundering (AML) policies and procedures.
The Financial Industry Regulatory Authority (FINRA) announced the results of voting that took place at its 2015 Annual Meeting today in Washington, D.C.
FINRA announced today that it has fined Goldman Sachs Execution & Clearing, L.P. $1.8 million for systemic OATS reporting violations, failure to accurately submit required trade reports, and related supervisory failures.
FINRA is requesting comment on a proposal to create a new academic TRACE data set that would be available to institutions of higher education.
FINRA is publishing this article to educate investors about bond liquidity, and the potential for decreased liquidity and investment losses for those who sell their bonds before maturity at a time of market stress.
In addition to this amount, LPL will also be paying restitution to eligible customers.