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FINRA Launches New Disciplinary Actions Database
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) today announced the launch of the FINRA Disciplinary Actions Online database, a web-based searchable system that makes its disciplinary actions accessible via its website at www.finra.org.
FINRA Fines Wells Fargo Advisors $1 Million for Delays in Delivering Prospectuses to More Than 900,000 Customers
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Wells Fargo Advisors, LLC of St. Louis, $1 million for its failure to deliver prospectuses in a timely manner to customers
FINRA Alert Warns of Japan Earthquake Related Investment Scams
FINRA Alert Warns of Japan Earthquake Related Investment Scams
FINRA Bars Illinois Broker for Insider Trading
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) today announced that a former registered representative, Michael Hendry, has been barred from the securities industry for engaging in insider trading and for failing to respond truthfully to questioning by investigators in FINRA's Office of Fraud Detection and Market Intelligence (OFDMI).
FINRA Suspends Pinnacle Partners and its President Brian Alfaro
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has suspended indefinitely Pinnacle Partners Financial Corporation, of San Antonio, TX, and its President, Brian K. Alfaro, for failure to comply with a FINRA Temporary Cease and Desist Order prohibiting their fraudulent misrepresentations.
FINRA Fines Jefferies $1.5 Million for Failing to Disclose Additional Compensation Paid and Conflicts in Sale of Auction Rate Securities
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Jefferies & Company, Inc. $1.5 million for failing to disclose additional compensation received and conflicts in connection with the sale of auction rate securities (ARS).
FINRA Fines Santander Securities $2 Million for Deficiencies in Its Structured Product Business and Unsuitable Reverse Convertible Sales
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Santander Securities of Puerto Rico $2 million for deficiencies in its structured product business
FINRA Fines UBS Financial Services $2.5 Million; Orders UBS to Pay Restitution of $8.25 Million for Omissions That Effectively Misled Investors in Sales of Lehman-Issued 100% Principal-Protection Notes
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined UBS Financial Services, Inc., $2.5 million, and required UBS to pay $8.25 million in restitution for omissions and statements made that effectively misled some investors
Remarks at the SIFMA Compliance and Legal Division's Annual Seminar
Remarks From the SIFMA Compliance and Legal Division's Annual Seminar
Remarks at the FINRA Fixed Income Conference
An audio podcast of this speech is available for download