Displaying 8061 - 8070 of 9025 Results
• Borrowing From or Lending to Customers—Failure to Comply With Rule Requirements
• Churning or Excessive Trading
• Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications
• Customer Account Transfer Contracts—Failure to Comply With Rule Requirements
• Day-Trading Accounts—Failure to Comply With
The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert called Beware of Fake Check Scams, warning the public about scams that target job-seekers and those looking to make a little extra cash.
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Ramon Luis Dominguez, President of RD Capital Group in Puerto Rico, to pay restitution of $950,000 plus interest to three customers victimized when Dominguez and the firm charged undisclosed, excessive and fraudulent markups on the sale of United States Treasury STRIPS.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert warning investors to beware of potential stock scams when considering the purchase of shares of companies that tout high returns associated with cryptocurrencies, such as bitcoin.
Unrealistic predictions of exponential returns and unsubstantiated claims made through press releases, spam email,
The Financial Industry Regulatory Authority (FINRA) announced today that it has imposed a $1 million fine against E*Trade Securities, LLC and E*Trade Clearing, LLC, collectively, for failing to establish and implement anti-money laundering (AML) policies and procedures that could reasonably be expected to detect and cause the reporting of suspicious securities transactions.
The Financial Industry Regulatory Authority (FINRA) and the International Foundation of Employee Benefit Plans today launched a partnership to broadly disseminate two online resources to help companies and their older workers protect themselves from early retirement scams.
Identity theft occurs when someone obtains your personal information and uses it to take your money or to commit fraud or other crimes. It's much more than an inconvenience—it can devastate your credit rating and derail financial security.
The Financial Industry Regulatory Authority (FINRA) today issued an updated Investor Alert warning international investors about a new twist in advance-fee fraud involving low-priced US securities. Con artists have been misusing FINRA's name and impersonating FINRA employees in email communications in an apparent attempt to lend a false air of legitimacy to their schemes