2014 News Releases

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
December 22, 2014   FINRA Signs Regulatory Services Agreement with CBOE and C2
December 22, 2014   FINRA Bars Broker for Stealing $89,000 From an Elderly Customer
December 18, 2014   FINRA Issues Precious Metals Investor Alert
December 18, 2014   FINRA Fines Wells Fargo Advisors and Wells Fargo Advisors Financial Network $1.5 Million for Anti-Money Laundering Failures
December 16, 2014   FINRA Fines Merrill Lynch $1.9 Million and Orders Restitution of $540,000 for Fair Pricing and Supervisory Violations Related to Purchases of Distressed Securities
December 11, 2014   FINRA Fines 10 Firms a Total of $43.5 Million for Allowing Equity Research Analysts to Solicit Investment Banking Business and for Offering Favorable Research Coverage in Connection With Toys"R"Us IPO
December 10, 2014   FINRA Names New Floor Member Governor
December 09, 2014   FINRA Issues Retrospective Rule Review Reports
November 24, 2014   FINRA Fines Citigroup Global Markets Inc. $15 Million for Supervisory Failures Related to Equity Research and Involvement in IPO Roadshows
November 18, 2014   FINRA Announces New Public Board Members
November 17, 2014   FINRA and MSRB Release Proposals to Provide Pricing Reference Information for Investors in Fixed Income Markets
November 06, 2014   FINRA Investor Survey Reveals Strong Support for Additional Regulatory Protections
October 30, 2014   FINRA Names Richard Berry Director of Dispute Resolution
October 30, 2014   FINRA, SEC Warn Investors About Penny Stock Scams Hyping Dormant Shell Companies
October 27, 2014   FINRA Fines Merrill Lynch a Total of $6 Million for Reg SHO Violations and Supervisory Failures
October 16, 2014   FINRA Receives Two 2014 Data Impact Awards
October 09, 2014   FINRA Foundation Study Reveals Financial Vulnerability of American Renters
October 07, 2014   FINRA Statement on PIABA's Arbitrator Report
October 01, 2014   SEC, FINRA and the MSRB to Hold Compliance Outreach Program for Municipal Advisors
September 30, 2014   FINRA Solicits Comment on Proposed Rule to Implement CARDS
September 19, 2014   FINRA Board Approves Series of Equity Trading and Fixed Income Rulemaking Items
September 18, 2014   FINRA Marks 75th Anniversary of Protecting Investors
September 11, 2014   FINRA Issues New Investor Alert, Frontier Funds-Travel with Care
September 03, 2014   Dispute Resolution President Linda Fienberg to Retire From FINRA
August 26, 2014   FINRA Fines Citigroup Global Markets Inc. $1.85 Million and Orders Restitution of $638,000 for Best Execution and Supervisory Violations in Non-Convertible Preferred Securities Transactions
August 18, 2014   FINRA Charges Wedbush Securities for Systemic Market Access Violations, Anti-Money Laundering and Supervisory Deficiencies
August 14, 2014   Firms Elect Two Industry Governors to FINRA Board of Governors, Two New Public Governors Appointed
August 14, 2014   FINRA Warns Investors of Viral Disease Stock Scams
August 12, 2014   Military Spouses Receive Fellowships to Conduct Financial Counseling
July 23, 2014   SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement
July 17, 2014   FINRA Announces Arbitration Task Force
July 02, 2014   FINRA Bars Broker for Insider Trading in Japanese Securities
July 01, 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 05, 2014   FINRA's Statement on Chair White's Enhancing Our Market Structure Speech
June 04, 2014   FINRA Fines Barclays Capital, Goldman Sachs and Merrill Lynch $1 Million Each for Submitting Inaccurate Blue Sheet Data
June 02, 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 06, 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 02, 2014   FINRA Rule Change to Limit Self-Trading Approved
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 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 08, 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 06, 2014   FINRA’s Statement on PIABA’s Public Disclosure Study
March 03, 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 06, 2014   BATS Global Markets, FINRA Enter Regulatory Service Agreement
February 05, 2014   FINRA Investor Education Foundation and United Way Worldwide Announce More Than $1.2 Million in Grants to Support Grassroots Financial Education Projects
February 05, 2014   FINRA Fines Brown Brothers Harriman A Record $8 Million for Substantial Anti-Money Laundering Compliance Failures
February 04, 2014   FINRA Foundation Issues Five Dos and Don’ts That Can Help You Achieve Greater Financial Security
January 28, 2014   FINRA Fines Banorte-Ixe Securities $475,000 for Inadequate Anti-Money Laundering Program and for Failing to Register Foreign Finders
January 23, 2014   FINRA Issues New Investor Alert: The IRA Rollover: 10 Tips to Making a Sound Decision
January 16, 2014   FINRA Bars J.P. Morgan Vice President and Broker Friend in Insider Trading Scheme
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 09, 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 02, 2014   FINRA Releases 2014 Regulatory and Exam Priorities