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News Releases

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
December 22, 2014

FINRA Bars Broker for Stealing $89,000 From an Elderly Customer
December 22, 2014

FINRA Signs Regulatory Services Agreement with CBOE and C2
December 18, 2014

FINRA Fines Wells Fargo Advisors and Wells Fargo Advisors Financial Network $1.5 Million for Anti-Money Laundering Failures
December 18, 2014

FINRA Issues Precious Metals Investor Alert
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 9, 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

Corrected: 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 6, 2014

FINRA Investor Survey Reveals Strong Support for Additional Regulatory Protections
October 30, 2014

FINRA, SEC Warn Investors About Penny Stock Scams Hyping Dormant Shell Companies
October 30, 2014

FINRA Names Richard Berry Director of Dispute Resolution
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 9, 2014

FINRA Foundation Study Reveals Financial Vulnerability of American Renters
October 7, 2014

FINRA Statement on PIABA's Arbitrator Report
October 1, 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

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