finra

FINRA

2008 News Releases

December 31, 2008 -   FINRA and FINRA Investor Education Foundation Protect Seniors from Investment Fraud, Help Military Save for Future
December 16, 2008 -   FINRA Provides Details on Special Arbitration Procedure for ARS Consequential Damages
December 08, 2008 -   FINRA Launches Comprehensive Mutual Fund Expense Analyzer
December 08, 2008 -   FINRA Investor Education Foundation Announces 2009 Grant Program
November 21, 2008 -   Small Firms Elect Coordinated Capital Securities CEO Mari Buechner to Fill Vacant FINRA Board of Governors Seat
November 13, 2008 -   Citigroup Global Markets Fined $300,000 for Failing to Supervise Commissions Charged to Customers on Stock and Option Trades
October 29, 2008 -   J.P. Turner Fined $250,000 for Failing to Supervise Commissions Charged on Stock Trades
October 23, 2008 -   FINRA Announces Agreements in Principle with Three Additional Firms to Settle Auction Rate Securities Violations
October 21, 2008 -   FINRA Investment Tools Help Investors Opening New Accounts Get Started Off Right
October 20, 2008 -   Military Spouses Awarded Fellowships to Provide Financial Counseling and Education to Military Community
October 16, 2008 -   FINRA Fines Banorte Securities International $1.1 Million for Improper Sales of Class B Mutual Fund Shares
October 15, 2008 -   FINRA Fines SunTrust Investment Services $700,000 for Fee-Based Account and Excessive Commission Violations
October 01, 2008 -   FINRA Alerts Investors of U.S. Treasury Program to Guarantee Money Market Funds that "Break the Buck"
September 26, 2008 -   FINRA Dispute Resolution Proposes Raising Threshold for Three-Arbitrator Cases
September 18, 2008 -   FINRA Announces Agreements in Principle with Five Firms to Settle Auction Rate Securities Violations
September 15, 2008 -   Statement of the Financial Industry Regulatory Authority Regarding Lehman Brothers, Inc. and Neuberger Berman, LLC
September 15, 2008 -   FINRA Advises Investors on How to Safeguard Their Brokerage Accounts
September 11, 2008 -   FINRA Bars Two Registered Representatives for Insider Trading
September 09, 2008 -   Questions About Online Brokerage? Reverse Mortgages? 401(k) Investing? FINRA Launches New Podcast Series to Give Investors an Earful of Advice
September 04, 2008 -   FINRA Sanctions Three Brokers for Sales of CMOs to Retail Investors
September 03, 2008 -   FINRA Expels Barron Moore and Takes Disciplinary Actions Against Seven Individuals for Illegal Sales of Unregistered Penny Stocks
August 13, 2008 -   FINRA and NYSE Regulation Announce Agreement With Ten U.S. Exchanges to Strengthen Surveillance, Investigation and Enforcement to Prevent Insider Trading
August 07, 2008 -   FINRA Creates Process for Arbitrations Involving Auction Rate Securities
July 24, 2008 -   FINRA to Launch Pilot Program to Evaluate All-Public Arbitration Panels
July 01, 2008 -   FINRA, International Foundation Partner on Resources for Companies, Employees to Guard Against Early Retirement Seminar Scams
July 01, 2008 -   FINRA to Conduct Special Election to Fill Vacant Board Seat
June 26, 2008 -   FINRA Warns Investors About Compromising Important Assets in Uncertain Economic Times
June 04, 2008 -   James P. Donovan Named FINRA Senior Executive Vice President
May 29, 2008 -   FINRA Warns Investors: Don't "Swipe" Out Your Retirement Savings With 401(k) Debit Cards
May 15, 2008 -   FINRA Warns International Investors of Advance-Fee Fraudsters Misusing FINRA's Name and Impersonating FINRA Employees
May 15, 2008 -   FINRA Fines Three Firms a Total of $1.6 Million for OATS Reporting and Supervision Violations
May 14, 2008 -   FINRA Seeks Comment on Proposals for Consolidated Rules Governing Financial Responsibility, Supervision, Books & Records, Investor Education
May 12, 2008 -   FINRA Warns Job Seekers About Online Classifieds Scams Aimed at Identity Theft, Financial Fraud
May 08, 2008 -   GunnAllen Financial Pays $750,000 to Settle Charges Involving Former Head Trader's Trade Allocation Scheme, AML and Supervisory Deficiencies, Additional Charges
April 30, 2008 -   FINRA's National Adjudicatory Council Affirms $5 Million Fine Against American Funds Distributors for Violating FINRA's Anti-Reciprocal Rule
April 25, 2008 -   FINRA Hearing Panel Dismisses 2004 Sales Practices Complaint Against H&R Block Financial Advisors
April 24, 2008 -   FINRA Alert Cautions Investors on Speculating with Catastrophe Bonds and Other Event-Linked Securities
April 24, 2008 -   FINRA Proposes Rule Change to Require Reporting of Customer Allegations of Sales Practice Violations Against Brokers in All Arbitrations, Civil Lawsuits - Even When Broker Is Not an Official Party to the Dispute
April 22, 2008 -   FINRA Introduces Resources for Companies, Employees to Guard Against Early Retirement Seminar Scams
April 09, 2008 -   FINRA Issues Guidance on Best Practices for Detecting and Preventing "Rogue" Trading
March 31, 2008 -   Self-Regulators Warn Against Spreading False Rumors and Other Abusive Market Activity
March 31, 2008 -   FINRA Issues Guidance to Investors Caught in ARS Auction Failures
March 31, 2008 -   Statement of FINRA CEO Mary L. Schapiro Regarding Treasury Secretary's Blueprint on Revamping Financial Services Regulation
March 24, 2008 -   FINRA Hearing Panel Fines, Suspends Investprivate's Chairman and CEO for Failure to Disclose Tax Liens, Customer Complaints
March 14, 2008 -   Statement of the Financial Industry Regulatory Authority Regarding Bear Stearns' Broker Dealers
March 13, 2008 -   FINRA Warns Senior Investors About Reversing Fortunes With Reverse Mortgages
March 07, 2008 -   SEC, FINRA Announce 14 Regional CCOutreach BD Seminars
March 06, 2008 -   FINRA Fines, Suspends 16 State Farm Representatives for Test-Taking Irregularities in the Firm's Continuing Education Program
February 28, 2008 -   FINRA Settles with Five Firms for Supervisory Failures, Improper Mutual Fund Sales to More than 5,300 Households; Tens of Millions of Dollars to be Returned to Customers
February 21, 2008 -   FINRA Investor Education Foundation Grants Exceed $14M
February 21, 2008 -   Oppenheimer & Co. to Pay $4.5 Million to Settle FINRA Market Timing Charges
February 14, 2008 -   FINRA Charges Broker for Misappropriating Almost $400,000 from 97-Year-Old Widow and Her Charitable Foundation
February 08, 2008 -   SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors
January 29, 2008 -   FINRA Fines Banc One for Unsuitable Variable Annuity Sales, Inadequate Supervision of Fixed-to-Variable Annuity Exchanges
January 09, 2008 -   SMH Capital Fined $450,000 for Procedural Failures Regarding Soft Dollar Payments, Distributing Improper Hedge Fund Sales Materials
January 08, 2008 -   FINRA Fines 19 Firms a Total of $2.8 Million for Inaccurate Advertised Trade Volume Information
January 07, 2008 -   FINRA Investor Education Foundation and the American Library Association Announce $853,000 in Grants to Libraries Nationwide