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News Releases

April 27, 2015

FINRA Files Cease and Desist Order Against Avenir Financial Group, CEO Michael Clements, and Registered Representative Karim Ibrahim for Fraud Against Elderly Investors
April 23, 2015

FINRA Orders RBC to Pay Fine and Restitution Totaling More Than $1.4 Million for Unsuitable Sales of Reverse Convertibles
April 20, 2015

FINRA Launches Toll-Free FINRA Securities Helpline for Seniors
April 16, 2015

FINRA Board Approves Changes to Communications With the Public Rules, Trading Activity Fee
April 15, 2015

SEC Staff and FINRA Issue Report on National Senior Investor Initiative
March 30, 2015

FINRA Sanctions Three Firms for Inadequate Supervision of Consolidated Reports
March 26, 2015

FINRA Sanctions Oppenheimer & Co. $3.75 Million for Supervisory Failures
March 25, 2015

FINRA Sanctions First New York Securities L.L.C. $916,000 for Illegal Short Selling in Advance of 14 Public Offerings
March 16, 2015

FINRA Launches Redesigned finra.org Website
March 12, 2015

FINRA Sanctions Brookville Capital Partners $1.5 Million and Bars President Anthony Lodati for Fraud
March 9, 2015

FINRA Foundation Research Reveals Fraud Victims Vulnerable to Severe Stress, Anxiety and Depression
March 2, 2015

FINRA Foundation Military Spouse Fellowship Application Period Open From March 2 to April 17
February 23, 2015

FINRA Investor Education Foundation and United Way Grant $1.5 Million for Financial Education
February 12, 2015

Statement of Marcia E. Asquith, Senior Vice President and Corporate Secretary, on the Loss of Harvey J. Goldschmid
February 12, 2015

FINRA Board Approves $50 Million Contribution to the FINRA Foundation
February 11, 2015

Erozan Kurtas Named Head of FINRA's New Office of Advanced Data Analytics
February 5, 2015

FINRA Foundation-Funded Study Documents Effectiveness of State Financial Education Mandates
February 3, 2015

FINRA Issues Report on Cybersecurity Practices, Cybersecurity Investor Alert
February 2, 2015

FINRA Investor Education Foundation and the American Library Association Announce $1.8 Million in Grants to Public Libraries to Support Financial Literacy
January 14, 2015

FINRA Hearing Panel Expels John Carris Investments and Bars CEO George Carris for Fraud
January 9, 2015

FINRA Hearing Panel Expels John Thomas Financial and Bars CEO Tommy Belesis for Trading Ahead of Customer Orders, Providing False Testimony and Other Violations; Ordered To Pay $1,047,288 to Customers
January 6, 2015

FINRA Releases 2015 Regulatory and Exam Priorities Letter Five Challenges Firms Should Address Highlighted in 10th Anniversary of Letter
December 30, 2014

FINRA Sanctions Monex Securities Inc. $1.3 Million for Failing to Register and Supervise Foreign Personnel
December 29, 2014

FINRA Fines Pershing LLC $3 Million for Customer Protection Rule Violations and Supervisory Failures
December 23, 2014

FINRA Warns Investors of E-Cigarette Stock Scams

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