FINRA

Office of Fraud Detection and Market Intelligence (OFDMI) Activities

10/4/11		FINRA Fines Merrill Lynch $1 Million for Supervisory Failures That Allowed a Registered Representative to Operate a Ponzi Scheme
5/2/11		FINRA Bars Illinois Broker for Insider Trading
7/15/10		FINRA Warns Investors of Social Media-Linked Ponzi Schemes, High-Yield Investment Programs
3/18/10		Dallas-based Provident Asset Management Expelled for Marketing Fraudulent Private Placements Offered by Affiliate in Massive Ponzi Scheme
11/4/09		FINRA Bars California Broker for Insider Trading
8/31/09		FINRA Bars Brokers in Multi-Million-Dollar Ponzi Schemes
3/5/09		FINRA Announces Creation of "Office of the Whistleblower"
9/11/08		FINRA Bars Two Registered Representatives for Insider Trading