FINRA

Newsroom

FINRA Orders SunTrust Investment Services to Pay $1.44 Million for Unsuitable UIT, Closed-End Fund and Mutual Fund Transactions—7/22/10
Susan Axelrod Named FINRA Executive Vice President, Sales Practice—7/21/10
FINRA Fines Deutsche Bank Securities $7.5 Million for Negligent Misrepresentations Related to Subprime Securitizations—7/21/10
FINRA Warns Investors of Social Media-Linked Ponzi Schemes, High-Yield Investment Programs—7/15/10
FINRA to Make Additional Information About Brokers, Former Brokers Publicly Available Through BrokerCheck—7/13/10