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About 809 results for "finra"

Wells, Raymond James, LPL Ordered to Pay Clients $30M
On Wall Street

Wells Fargo & Co and other to eimburse $30 mln in fees - FINRA...

Wells Fargo & Co:Says Three major securities brokerages must collectively reimburse customers more than $30 million for failing to waive mutual fund sales charges for thousands of accounts belonging to charities and retirement investors, Wall ... Reuters, 1 hour ago

154 images for finra

KOLD-TV, 6 minutes ago
AdvisorOne, 6 days ago, 1 day ago
West Australian, 6 days ago
Financial-Planning Interactive, 23 hours ago
Jutia Group, 18 hours ago
LifeHealthPro, 22 hours ago
KXXV-TV, 1 day ago
Sys-Con Media, 1 day ago
EWeek, 4 days ago
PR Newswire

Xnergy Financial Closes Sale of Solar Installer to Strategic Buyer

Xnergy Financial LLC, member FINRA / SIPC ("Xnergy"), has provided investment banking acquisition services to Solar Alliance of America ("Solar Alliiance") a leading provider of solar installation services in San Diego, leading to its acquisition by ...
 Individual.com1 hour ago

Greece ETFs, Goldman, BNP Paribas Finra Dispute: Compliance

(Bloomberg) -- As U.S. investors tear into an exchange- traded fund tied to Greek equities, in Europe theyre going without, at least on public venues. That's because the Lyxor ETF FTSE Athex 20, which tracks the FTSE Athex 20 Index and has ...
 La Repubblica6 days ago

Wall Street regulator says Labor Department broker rule 'not the way to go'

(FINRA) on Wednesday took aim at the US Labor Department plan to reduce conflicts among brokers who offer retirement account advice on Wednesday, saying it is "not the way to go." The Labor Department plan, unveiled in April, would require brokers who offer ...
 Economic Times1 month ago

FINRA Earnings Surge as Fines Double

FINRA CEO Richard Ketchum, left, and FSI CEO Dale Brown. Ketchum's salary rose 10% in 2014. FINRA, the self-regulatory organization for the financial services industry, is doing very well financially. Net income for the industry-funded ...
 AdvisorOne6 days ago FINRA fines Morgan Stanley $2 million for short-selling violations  Economic Times1 month ago

Wall Street regulator FINRA toughens its sanctions guidelines

In some cases, FINRA's new guidelines will also increase the amount of monetary sanctions by indexing them to the Consumer Price Index. The changes unveiled Tuesday by FINRA come about a year after FINRA Chief ExecutiveRichard Ketchum told Reuters in an ...
 Economic Times1 month ago

Brian Kovack Announces Candidacy For Mid-Sized Firm Seat In Upcoming FINRA Board Of Governors Election

/PRNewswire/ -- Brian Kovack , President and Co-Founder of independent broker-dealer and FINRA member firm Kovack Securities, Inc., today announced his candidacy for the vacant Mid-Size Firm seat in the upcoming FINRA Board of Governors election.
 Vision Monday1 day ago

Couple Wins $16.1 Million in Dispute With BNP Paribas

JUL 7, 2015 11:35am ET A FINRA arbitration panel ordered BNP Paribas Securities to cough up $16.1 million to compensate a couple for duping them into buying an unsuitable security. It was one of the largest arbitration awards of ...
 Bank Investment Consultant56 minutes ago


OTC Disclosure & News Service Beverly Hills, CA This release includes additional documents. Select the link(s) below to view. BeverlyHillsGroup,Inc.AnnouncesFINRAApproval.pdf ...
 OTC Markets1 day ago SUTIMCo International, Inc. (SUTI: OTC Pink Current) | FINRA Divident Filings Confirmation  OTC Markets5 days ago SUTIMCo International Inc : SUTI Inc., Fulfills the Definitive Agreement with Canna and the City by Funding the Contract  4 Traders4 hours ago, Inc. (LFLS: OTC Pink Current) | LFLS Update - Top Bank Lawyer Retained  OTC Markets1 day ago

FINRA cracks down on overcharges to 401(k) plans

Three titans of the broker world will pay a combined $30 million in restitution after the firms failed to waive fees on mutual funds. Three titans of the broker world will pay a combined $30 million in restitution to more than 50,000 retirement ...
 LifeHealthPro22 hours ago
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