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News Releases

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
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 3, 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 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

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