Investors can research and compare more than 30,000 products
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) has introduced a new and improved Fund Analyzer tool to help investors and financial professionals understand the impact of fees and potentially discounts on mutual funds, exchange-traded funds, exchange-traded notes and money market funds.
The Fund Analyzer’s live data
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).
WASHNGTON - A Financial Industry Regulatory Authority (FINRA) hearing panel has expelled AIS Financial, Inc., a broker-dealer based in Westlake Village, CA, for failing to implement and enforce an anti-money laundering (AML) program.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel has expelled Washington, D.C.-based Success Trade Securities, Inc. from membership and barred its CEO and President, Fuad Ahmed, for the fraudulent sale of promissory notes and for creating a Ponzi scheme.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $8 million for failing to waive mutual fund sales charges for certain charities and retirement accounts. FINRA also ordered Merrill Lynch to pay $24.4 million in restitution to affected customers, in addition to $64.8 million the firm has already repaid to harmed investors.
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WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley Smith Barney LLC $5,000,000 for supervisory failures related to the solicitation of retail customers to invest in initial public offerings (IPOs).
Securities Regulators Around the World Are Shining a Spotlight on Investor Education and Protection
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced its participation in the first World Investor Week, Oct. 2-8, to increase awareness of investor education and protection tools and information.
Throughout the week, FINRA and other securities regulators and
Goldman Sachs to Pay $650,000 for Failing to Disclose Wells Notices
