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News Releases

July 2, 2014

FINRA Bars Broker for Insider Trading in Japanese Securities
July 1, 2014

FINRA Fines Goldman Sachs Execution & Clearing, L.P. $800,000 for Failing to Prevent Trade-Throughs in its Alternative Trading System
June 30, 2014

FINRA Brings 144A Corporate Debt Transactions Into the Light
June 25, 2014

FINRA Hearing Panel Expels Success Trade Securities and Bars CEO Fuad Ahmed for Fraudulent Scheme
June 16, 2014

FINRA Fines Merrill Lynch $8 Million; Over $89 Million Repaid to Retirement Accounts and Charities Overcharged for Mutual Funds
June 5, 2014

FINRA's Statement on Chair White's Enhancing Our Market Structure Speech
June 4, 2014

FINRA Fines Barclays Capital, Goldman Sachs and Merrill Lynch $1 Million Each for Submitting Inaccurate Blue Sheet Data
June 2, 2014

FINRA Makes Dark Pool Data Available Free to the Investing Public
May 28, 2014

FINRA Issues New Investor Alert, High-Yield CDs: Red Flags That Signal a Scam
May 6, 2014

FINRA Fines Morgan Stanley Smith Barney LLC $5,000,000 for Supervisory Failures Related to Sales of Shares in 83 Initial Public Offerings to Retail Customers
May 2, 2014

FINRA Rule Change to Limit Self-Trading Approved
April 24, 2014

FINRA Names Leslie F. Seidman As New Public Governor
April 24, 2014

FINRA Board Approves Amendment to Supervision Rule Requiring Firms to Conduct Background Checks on Registration Applicants
April 24, 2014

Board Decision Finds Charles Schwab & Co. Violated FINRA Rules by Adding Waiver Provisions in Customer Agreements Prohibiting Customers From Participating in Class Actions; Reverses FINRA Hearing Panel Decision
April 8, 2014

FINRA Launches Retrospective Rule Review
March 24, 2014

FINRA Fines LPL Financial LLC $950,000 for Supervisory Failures Related to Sales of Alternative Investments
March 18, 2014

FINRA and BATS Order Citigroup Global Markets Inc. to Pay $1.1 Million for Illegal Short Selling In Advance of Five Public Offerings and for Related Supervisory Violations
March 12, 2014

FINRA Fines Triad Advisors and Securities America a Total of $1.2 Million for Consolidated Reporting Violations
March 11, 2014

FINRA Issues New Investor Alert, Bitcoin: More than a Bit Risky
March 10, 2014

FINRA Foundation Study Finds Millennials Struggle Financially
March 6, 2014

FINRA’s Statement on PIABA’s Public Disclosure Study
March 3, 2014

FINRA Foundation Military Spouse Fellowship Application Period Open From March 3 – April 18
February 24, 2014

FINRA Fines Berthel Fisher and Affiliate, Securities Management & Research, $775,000 for Supervisory Failures Related to Sales of Non-Traded REITs and Leveraged and Inverse ETFs
February 13, 2014

FINRA Board Approves Rule Prohibiting Conditioning Settlements of Customer Disputes on a Customer’s Agreement Not to Oppose Expungement
February 6, 2014

BATS Global Markets, FINRA Enter Regulatory Service Agreement

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