Displaying 2941 - 2950 of 34830 Results
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined two firms a total of $2.15 million and ordered the firms to pay more than $3 million in restitution to customers for losses incurred from unsuitable sales of floating-rate bank loan funds.
WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) today released the results of America’s State-by-State Financial Capability Survey.
State releases
JERSEY CITY, NJ and WASHINGTON, DC — Direct Edge®, the third largest stock exchange operator in the U.S., has agreed with the Financial Industry Regulatory Authority (FINRA), the independent, non-governmental regulator for all securities firms doing business with the public in the U.S., to provide market surveillance services on behalf of Direct Edge's two licensed stock exchanges.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it fined LPL Financial LLC (LPL) $7.5 million for 35 separate, significant email system failures, which prevented LPL from accessing hundreds of millions of emails and reviewing tens of millions of other emails.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined three firms a total of $900,000 for failing to establish and implement adequate anti-money laundering (AML) programs and other supervisory systems to detect suspicious transactions.
Two organizations join forces to equip law enforcement and their communities with tools to prevent and report financial fraud
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) announced today that Carlo V. di Florio, currently Director of the SEC’s Office of Compliance Inspections and Examinations (OCIE), will join the organization as Executive Vice President, Risk and Strategy.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that Jonathan S. Sokobin, currently Acting Deputy Director, Research and Analysis in the Office of Financial Research at the U.S. Treasury Department, will join the organization as Chief Economist and Senior Vice President.
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) announced today that Susan Axelrod will become FINRA’s Executive Vice President of Regulatory Operations.