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Press Room

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Press Room

View our recently posted news releases below along with links to other news related information.

View the News Releases section to see archived releases.


5/8/08 GunnAllen Financial Pays $750,000 to Settle Charges Involving Former Head Trader's Trade Allocation Scheme, AML and Supervisory Deficiencies, Additional Charges
4/30/08 FINRA's National Adjudicatory Council Affirms $5 Million Fine Against American Funds Distributors for Violating FINRA's Anti-Reciprocal Rule
4/25/08 FINRA Hearing Panel Dismisses 2004 Sales Practices Complaint Against H&R Block Financial Advisors
4/24/08 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
4/24/08 FINRA Alert Cautions Investors on Speculating with Catastrophe Bonds and Other Event-Linked Securities
4/22/08 FINRA Introduces Resources for Companies, Employees to Guard Against Early Retirement Seminar Scams

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