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WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that Samuel Gaer, currently President of Tragara Alpha Partners and formerly Chief Information Officer (CIO) of NYMEX Holdings, will join the organization as CIO and Executive Vice President for Business Services.
WASHINGTON - The Securities and Exchange Commission and Financial Industry Regulatory Authority (FINRA) today announced that the annual CCOutreach BD National Seminar will be held on Feb. 8, 2011, at the SEC's Washington, D.C., headquarters.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has selected J. Bradley Bennett, a partner at the law firm Baker Botts in Washington, DC, as its new head of Enforcement. Bennett will start at FINRA on January 1 and takes over from James Shorris, who has been acting Chief of Enforcement since Susan Merrill departed the organization last March.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) today announced that it has fined the former Ferris, Baker Watts LLC, acquired by RBC Wealth Management,, $500,000 for inadequate supervision of sales of reverse convertible notes to retail customers as well as unsuitable sales of reverse convertibles to 57 accounts held by elderly customers who were at least 85 years old and customers with a modest net worth.
The Financial Industry Regulatory Authority (FINRA) will file a rule proposal next month that would allow all investors filing arbitration claims the option of having an all-public panel, greatly increasing investor choice in the FINRA arbitration program.
LONDON and WASHINGTON - The Financial Services Authority (FSA) and the US Financial Industry Regulatory Authority (FINRA) have entered into a Memorandum of Understanding (MOU) to support more robust cooperation between the two regulators.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) today announced that it has censured and fined New York-based Trillium Brokerage Services, LLC, $1 million for using an illicit high frequency trading strategy and related supervisory failures.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA), in coordination with the Municipal Securities Rulemaking Board (MSRB) today issued a Regulatory Notice reminding municipal securities dealers of their sales practice, due diligence and fair pricing obligations when selling municipal securities in the secondary market.
FINRA Fines Zions Direct $225,000 for Failure to Disclose Potential Conflict of Interest in its Online CD Auctions
Military Spouses Receive Fellowships to Conduct Financial Counseling