News Releases & Statements

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FINRA Launches New Securitized Product Tables
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that FINRA and Interactive Data Corporation have created market activity and pricing-related tables for securitized products to provide investors and other market participants insight into asset and mortgage-backed securities transaction data reported to the Trade Reporting and Compliance Engine® (TRACE®).
FINRA Investor Alert Urges American Workers to Take Advantage of 401(k) Match
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued Why Leave Money on the Table—Make the Most of Your Employer’s 401(k) Match
FINRA Foundation Supports First Lady's "Joining Forces" Initiative with Expanded Financial Education Offerings for Military Families
WASHINGTON - In support of First Lady Michelle Obama and Dr. Jill Biden's "Joining Forces" initiative, the FINRA Investor Education Foundation today announced an expansion of the Foundation's Military Financial Education Project.
FINRA Issues Investor Alert on Public Non-Traded REITs
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) today issued a new Investor Alert called Public Non-Traded REITs-Perform a Careful Review Before Investing to help investors understand the benefits, risks, features and fees of these investments.
FINRA Names Gerri Walsh President of the FINRA Foundation, Head of Investor Education
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that Gerri Walsh has been named President of the FINRA Investor Education Foundation and head of FINRA's Investor Education division.
FINRA Fines Merrill Lynch $1 Million for Supervisory Failures That Allowed a Registered Representative to Operate a Ponzi Scheme
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million for supervisory failures that allowed a registered representative at Merrill Lynch's branch office in San Antonio, Texas, to use a Merrill Lynch account to operate a Ponzi scheme.
FINRA Orders Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. to Pay $1.69 Million in Restitution for Charging Unfair Commissions
WASHNGTON - The Financial Industry Regulatory Authority (FINRA) ordered Raymond James & Associates, Inc. (RJA) and Raymond James Financial Services, Inc. (RJFS) to pay restitution of $1.69 million to more than 15,500 investors who were charged unfair and unreasonable commissions on securities transactions.
FINRA Fines Five Broker Dealers for Improper Handling Fees
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined five broker-dealers for understating the amount of total commissions charged to customers in trade confirmations and on fee schedules by mischaracterizing a portion of the commission charges as fees for handling services.
FINRA Warns Investors of Gold Stock Scams
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called "Gold" Stocks-Some Investments Mine Your Pocketbook to warn investors about investment scams that promote gold stocks and to provide information on how to invest in legitimate gold investments.
FINRA Suspends and Fines Trader; Orders Restitution for Manipulative Trading that Artificially Impacted the Market Through a Concealed Account
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) today announced that trader Robert T. Bunda, of Frankfort, Illinois, has been suspended for 16 months, fined $175,000 and is required to pay restitution of $171,740 for engaging in manipulative trading activity including spoofing that artificially impacted the market price of a Nasdaq security.