finra

In the Media


Posted: December 12, 2014

Bloomberg TV

 

FINRA Executive President of Regulatory Operations Susan Axelrod and Former Federal Prosecutor Doug Burns discuss fines for 10 firms that used their equity analysts to solicit investment banking business and offer favorable research in connection with a 2010 planned Toys R Us IPO. They speak on “In The Loop.”

 



Posted: October 13, 2014

CNBC’s Halftime Report

 

FINRA Chairman and CEO Rick Ketchum appeared on CNBC’s Halftime Report to discuss how FINRA’s CARDS initiative will enhance FINRA’s ability to protect investors.

 



Posted: October 13, 2014

CNBC

 

CNBC's Eamon Javers discusses FINRA’s CARDS initiative, which would allow FINRA to identify and quickly respond to high-risk areas and suspicious activities.

 



Posted: April 21, 2014

Bloomberg TV

 

Gerri Walsh discusses possible marijuana stock scams with Trish Regan on Bloomberg Television's "Street Smart."

 



Posted: June 7, 2013

CNBC’s Power Lunch

 

CNBC's Power Lunch segment, "Wall St. Greed & Fraud" references FINRA’s enforcement complaint against Tommy Belesis and John Thomas Financial. Watch the video on CNBC.

 



Posted: May 30, 2013

FINRA Foundation Releases Consumer Report

 

The Financial Industry Regulatory Authority's Investor Education Foundation produced a study of consumers' financial capabilities. Leaders from FINRA and other financial regulatory bodies discuss the study's conclusions. Watch the video on C-SPAN.

 



Posted: May 30, 2013

FINRA’s Tips for Researching Your Financial Advisor

 

Nerdwallet spoke to Gerri Walsh, president of the FINRA Investor Education Foundation and Senior Vice President of Investor Education of FINRA Investor Education, about the tools FINRA gives individual investors, as well as new initiatives on the horizon.

 



Posted: March 21, 2013

Gerri Walsh on WUSA9 – Women and Investing Money

 

Women face some special challenges when it comes to saving for the future and don't tend to plan for the fact that they live longer than their counterparts. Watch the video.