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News Releases

January 13, 2014

FINRA Investor Education Foundation and the American Library Association Announce $1.19 Million in Grants to Public Libraries to Support Financial Literacy
January 9, 2014

FINRA Orders Stifel, Nicolaus and Century Securities to Pay Fines and Restitution Totaling More Than $1 Million for Unsuitable Sales of Leveraged and Inverse ETFs, and Related Supervisory Deficiencies
January 2, 2014

FINRA Releases 2014 Regulatory and Exam Priorities
December 26, 2013

FINRA Fines Barclays $3.75 Million for Systemic Record and Email Retention Failures
December 23, 2013

FINRA Solicits Comment on Comprehensive Automated Risk Data System (CARDS) Proposal
December 19, 2013

FINRA Fines Deutsche Bank Securities, Inc. $6.5 Million for Serious Financial and Operational Deficiencies
December 17, 2013

Two New Public Governors Appointed to FINRA Board of Governors, FINRA Creates New Investor Committee
December 16, 2013

FINRA Fines COR Clearing LLC $1 Million for Extensive Regulatory Failures
December 9, 2013

FINRA Fines Oppenheimer $675,000 and Orders Restitution of More Than $246,000 for Charging Unfair Prices in Municipal Securities Transactions and for Supervisory Violations
December 5, 2013

FINRA Orders J.P. Turner to Pay More Than $700,000 in Restitution for Unsuitable Sales of Leveraged and Inverse ETFs and for Excessive Mutual Fund Switching
December 3, 2013

FINRA Bars Two Brokers for Stealing $300,000 From Elderly Widow With Diminished Mental Capacity
December 3, 2013

FINRA Foundation Releases Military Financial Capability Survey
November 14, 2013

FINRA Names Mike Rufino Head of Member Regulation – Sales Practice, and Bill Wollman Head of Member Regulation – Risk Oversight and Operational Regulation (ROOR)
November 12, 2013

FINRA Releases Enhanced Version of BrokerCheck
November 12, 2013

Self-Regulatory Organizations Response to SEC for Strengthening Critical Market Infrastructure
November 6, 2013

FINRA Fines TD Ameritrade Clearing and SG Americas Securities a Total of $1.8 Million for Required Options Positions Reporting and Supervisory Violations
October 28, 2013

FINRA Issues New Investor Alert: Closed-End Fund Distributions: Where is the Money Coming From?
October 16, 2013

FINRA's Statement on PIABA's Expungement Study
October 14, 2013

Statement from Chairman and CEO Richard G. Ketchum on FINRA's Report on Conflicts of Interest
October 11, 2013

FINRA Issues New Investor Alert: Stock Up on Information Before Buying Stock
October 9, 2013

National Center for Victims of Crime, FINRA Foundation Release Taking Action: An Advocate's Guide to Assisting Victims of Financial Fraud
September 30, 2013

FINRA Seeks Cease and Desist Order Against John Carris Investments and CEO George Carris for Fraud
September 19, 2013

Board of Governors Authorizes FINRA to File Recruitment Compensation Proposal with the SEC
September 19, 2013

FINRA Issues Public Statement, Framework Regarding FINRA's Approach to Economic Impact Assessment for Proposed Rulemaking
September 17, 2013

FINRA Issues New Investor Alert: Private Placements—Evaluate the Risks Before Placing Them in Your Portfolio

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