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About 806 results for "finra"

AdvisorVault Now Offers Consolidated D3P Service to Help FINRA...

AdvisorVault, the only remote backup provider created specifically for small FINRA firms now offers a complete consolidated Designated Third Party (D3P) service to help firms achieve all the demands of SEC books and records rule 17a-4, by ... Virtual Strategy Magazine, 23 minutes ago

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MarketWired, 3 days ago
One News Page United Kingdom, 2 days ago
Yahoo! Finance, 3 days ago
Business Insider, 2 days ago
Yahoo! News, 2 days ago
AdvisorOne, 1 week ago
Bank Investment Consultant, 5 days ago
WGNT, 2 days ago, 2 days ago
Reuters, 2 days ago

Investors Once Again Getting Stuck With The Short End Of The Stick

Summary Government actions have harmed investors' interests. A court made insider trading easier; FINRA gave a "wrist slap" for sharp research practices. Congress voted to roll back Dodd-Frank protections. Three separate incidents last week ...
 Seeking Alpha1 day ago Investors Say No to FINRA's CARDS Plan  AdvisorOne5 days ago
Business Insider

FINRA Levies Joint $1.5Million Fine against Wells Fargo Affiliates

The Financial Industry Regulatory Authority (FINRA) has issued a collective fine for two broker-dealers under common control, Wells Fargo Advisors (WFA) and Wells Fargo Advisors Financial Network (WFAFN) for $1.5 million. FINRA is no stranger to ...
 Forex Magnates2 days ago Two Wells Fargo units to pay $1.5 mln for anti-money laundering lapses-FINRA  Reuters2 days ago CFTC hits CTA with $5.6 million penalties  Automated Trader1 day ago FINRA: Wells Fargo Units Fumbled AML for 9 Years  Financial Technologies Forum2 days ago

FINRA Fines Merill for Unfair Distressed Securities Pricing

The Financial Industry Regulatory Authority (FINRA), Wall Street's industry-funded regulator, fined Bank of America Corp's Merrill Lynch unit $1.9 million for unfair pricing related to the purchase of distressed securities over two years. Merrill ...
 FOXBusiness.com4 days ago FINRA fines Merrill for unfair pricing of distressed securities  CNBC4 days ago

Goldman must pay two brokers $7.6 mn for wrongful termination: FINRA

The brokers, Christopher Barra and Luis Sampedro, who worked as a team at Goldman for nine years until 2007, filed the case in 2010. The award, ordered on Friday by a Financial Industry Regulatory Authority (FINRA) arbitration panel, exceeds the $7 million ...
 Economic Times1 week ago Goldman Sachs must pay two brokers $7.6 million for wrongful termination: FINRA panel  Economic Times1 week ago

Citigroup to pay $15 mln for analyst supervision lapses: FINRA

Citigroup, which settled the allegations with FINRA, neither admitted nor denied the charges, but consented to the entry of FINRA's findings. A unit of Citigroup Inc must pay a $15 million fine for not adequately supervising communications among its equity ...
 Economic Times3 weeks ago

Wells Fargo Brokerage Units Fined by FINRA for AML Failures - Analyst Blog

Two brokerage divisions of Wells Fargo & Company ( WFC ) Wells Fargo Advisors (WFA) and Wells Fargo Advisors Financial Network (WFAFN) has been penalized with a joint fine of $1.5 million by The Financial Industry Regulatory Authority (FINRA) for ...
 Zacks.com1 day ago FINRA Fines Two Wells Fargo Broker-Dealers Over AML Failures  Family Wealth Report1 day ago

Douglas A. Wright Elected to FINRA Committee

The Investment Center, Inc. (TIC), an independent broker-dealer for financial services professionals, is proud to announce that its' Chief Compliance Officer, Douglas A. Wright , was elected to serve on the Financial Industry Regulatory Authority ...
 Citybizlist3 days ago Douglas A. Wright, CCO of The Investment Center, Inc. Elected to FINRA Committee  4 Traders3 days ago

Efstathios N Karanikolaidis and FINRA Exams

Efstathios N Karanikolaidis has passed the Series 7, Series 24, and Series 63 FINRA Exams Efstathios N Karanikolaidis in a Managing Director at J.P. Morgan, where he is with the Leveraged Finance Group. He has been with J.P. Morgan since 2002, the ...
 Press Release Ping1 day ago

FINRA Sanctions Member Firm for Failure to Deliver ETF Prospectuses

FINRA found that the Firm failed to deliver prospectuses for approximately 255,000 purchases of 160 ETFs during the period from September 2010 to November 2010. The Firm self-reported the delivery failures to FINRA. According to FINRA, the ...
 JD Supra1 day ago
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