Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) today announced a new financial literacy outreach program to promote financial literacy to elementary school students.
News Releases & Statements
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) today announced that a former registered representative, Abhishek Uppal, has been barred from the securities industry for engaging in insider trading earlier this year.
Richard G. Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority (FINRA), and Jean-Pierre Jouyet, Chairman of the Autorité des marchés financiers (AMF), signed on 19 October 2009 a memorandum of understanding (MoU) on information-sharing with a view to strengthening and improving cooperation in the surveillance and supervision of the markets under their jurisdictions.
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Scottrade $600,000 for failing to establish and implement an adequate anti-money laundering (AML) program to detect and trigger reporting of suspicious transactions, as required by the Bank Secrecy Act and FINRA rules.
Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today that two new public members have been appointed to its Board of Governors.
Washington, DC - The Financial Industry Regulatory Authority (FINRA) today announced that it has fined Citigroup Global Markets Inc. $600,000 and censured the firm for failing to supervise complex trading strategies designed in part to minimize potential tax liabilities.
Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former New York broker Sergio M. Del Toro from the securities industry for defrauding a 90-year-old Minnesota man of $511,000.
The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert called Beware of Auction Rate Securities Settlement "Phishing" Scam
Washington, DC — The Financial Industry Regulatory Authority (FINRA) announced today the expansion of its two-year pilot program that gives investors who are filing eligible claims the opportunity to select an arbitration panel composed of three public arbitrators instead of two public and one non-public.
Statement From FINRA Chairman and CEO Richard G. Ketchum on the Report of the Special Review Committee of the FINRA Board of Governors