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News Releases

March 12, 2015

FINRA Sanctions Brookville Capital Partners $1.5 Million and Bars President Anthony Lodati for Fraud
March 9, 2015

FINRA Foundation Research Reveals Fraud Victims Vulnerable to Severe Stress, Anxiety and Depression
March 2, 2015

FINRA Foundation Military Spouse Fellowship Application Period Open From March 2 to April 17
February 23, 2015

FINRA Investor Education Foundation and United Way Grant $1.5 Million for Financial Education
February 12, 2015

Statement of Marcia E. Asquith, Senior Vice President and Corporate Secretary, on the Loss of Harvey J. Goldschmid
February 12, 2015

FINRA Board Approves $50 Million Contribution to the FINRA Foundation
February 11, 2015

Erozan Kurtas Named Head of FINRA's New Office of Advanced Data Analytics
February 5, 2015

FINRA Foundation-Funded Study Documents Effectiveness of State Financial Education Mandates
February 3, 2015

FINRA Issues Report on Cybersecurity Practices, Cybersecurity Investor Alert
February 2, 2015

FINRA Investor Education Foundation and the American Library Association Announce $1.8 Million in Grants to Public Libraries to Support Financial Literacy
January 14, 2015

FINRA Hearing Panel Expels John Carris Investments and Bars CEO George Carris for Fraud
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

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