News Releases & Statements

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FINRA Investor Education Foundation and the American Library Association Announce $1.2 Million in Grants to Public Libraries to Support Financial Literacy
WASHINGTON-The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the American Library Association (ALA) have announced $1.2 million in grants to 16 recipients as part of the Smart investing@your library® initiative.
FINRA Fines Citigroup Global Markets $725,000 for Failure to Disclose Conflicts of Interest in Research Reports
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports and research analysts' public appearances.
Large Firms Elect Gregory Fleming to FINRA Board of Governors
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) today announced that Gregory J. Fleming, President of Morgan Stanley Smith Barney and President of Morgan Stanley Investment Management, was elected as a Large Firm Governor on FINRA's Board of Governors. Mr. Fleming fills the seat vacated by Sallie L. Krawcheck, former President of Global Wealth & Investment Management, Bank of America.  
FINRA Fines Credit Suisse Securities $1.75 Million for Regulation SHO Violations and Supervisory Failures
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Credit Suisse Securities (USA) LLC $1.75 million for violating Regulation SHO (Reg SHO) and failing to properly supervise short sales of securities and marking of sale orders.
FINRA Fines Barclays Capital $3 Million for Misrepresentations Related to Subprime Securitizations
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Barclays Capital Inc. $3 million for misrepresenting delinquency data and inadequate supervision in connection with the issuance of residential subprime mortgage securitizations (RMBS).
FINRA Foundation Issues Weathering Tough Economic Times—12 Tips for 2012
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation today released Weathering Tough Economic Times-12 Tips for 2012
FINRA's 2011 Activities Highlight Commitment to Investor Protection
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) has taken important actions to protect investors from fraudulent schemes, products and practices, and to bring new levels of transparency to financial markets.
FINRA Foundation 2010 Military Financial Capability Survey
WASHINGTON - On October 14, 2010, the FINRA Investor Education Foundation released the Military Survey - one of three linked surveys analyzing the financial capability of American adults.
FINRA Fines Wells Fargo $2 Million for Unsuitable Sales of Reverse Convertibles to Elderly Customers and Failure to Provide Breakpoints on UIT Sales
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Wells Fargo Investments, LLC, $2 million for unsuitable sales of reverse convertible securities through one broker to 21 customers, and for failing to provide sales charge discounts on Unit Investment Trust (UIT) transactions to eligible customers.
FINRA Foundation and USA Track & Field Foundation Team Up to Help Athletes Sidestep Investment Fraud
WASHINGTON — The FINRA Investor Education Foundation and the USA Track & Field Foundation (USATF Foundation) announced today that they are working together to help track and field athletes spot and avoid investment fraud and make informed financial decisions.