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News Releases

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
September 12, 2013

FINRA Foundation Survey Reveals Over 80 Percent of Respondents Are Exposed to Financial Scams
August 22, 2013

FINRA Fines Morgan Stanley $1 Million and Orders Restitution of $188,000 for Best Execution and Fair Pricing Violations in Customer Bond Transactions
August 20, 2013

FINRA Warns Investors of Marijuana Stock Scams
August 16, 2013

Regulators Issue Joint Staff Review of Firms' Business Continuity and Disaster Recovery Planning
August 14, 2013

Military Spouses Receive Fellowships to Conduct Financial Counseling
August 6, 2013

Firms Elect Two Industry Governors to FINRA Board of Governors, New Public Governor Appointed
August 6, 2013

FINRA Issues New Investor Alert, Cold Calls From Brokerage Firm Imposters—Beware of Old-Fashioned Phishing
August 5, 2013

FINRA Fines Oppenheimer & Co., Inc. $1.4 Million for Sale of Unregistered Penny Stocks and Anti-Money Laundering Violations
July 22, 2013

FINRA Significantly Increases Transparency in the Mortgage-Backed Securities Market
July 11, 2013

FINRA Joins Exchanges in Fining Newedge USA, LLC $9.5 Million for Supervisory, Regulation SHO, and Books and Records Violations
July 1, 2013

FINRA Selects Morningstar for Re-Launch of Market Data Center
June 26, 2013

FINRA Fines StateTrust Investments $1 Million and Orders $353,000 in Restitution for Charging Unfair Prices in Bond Transactions
June 12, 2013

FINRA, SEC Warn Investors: Don’t Trade on Pump-And-Dump Stock Emails
June 11, 2013

FINRA Issues New Investor Alert, Alternative Funds Are Not Your Typical Mutual Funds
June 4, 2013

FINRA Orders Wells Fargo and Banc of America to Reimburse Customers More Than $3 Million for Unsuitable Sales of Floating-Rate Bank Loan Funds
May 29, 2013

State Releases
May 29, 2013

FINRA Foundation Releases Nation's State-by-State Financial Capability Survey
May 22, 2013

Direct Edge Selects FINRA for Market Surveillance
May 21, 2013

LPL to Pay $9 Million for Systemic Email Failures and for Making Misstatements to FINRA

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