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BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from the securities industry or other appropriate sanctions.
Refund Requests for Charges Assessed In Error
FINRA provides registration and licensing relief to FINRA-registered persons and certain formerly registered persons who volunteer or are called into active military duty.
The U.S. Social Security Administration offers a service that enables employers to verify the social security numbers (SSN) of employees. FINRA recommends that its member firms consider using the SSN verification service in connection with the pre-registration or employment process. The verification process differs depending on the number of names or SSNs your firm wants to check: Up to 5 names
FINRA's Web CRD® Simultaneous Form Filing Program allows a "simultaneous filing group" or "SFG" (i.e., two or more FINRA member firms under substantially the same common ownership or control) to submit a single Form U4 (and single fingerprint card) or Form U5 to register or terminate an individual, respectively, with that SFG for a single processing fee. To obtain the
FINRA Sanctions Morgan Stanley $13 Million in Fines and Restitution for Failing to Supervise Sales of UITs
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley Smith Barney LLC $3.25 million and required the firm to pay approximately $9.78 million in restitution to more than 3,000 affected customers for failing to supervise its representatives’ short-term trades of unit investment trusts (UITs). A UIT is an investment company that offers
The Report Center provides firms with secure access to data and reports designed to support their compliance activities.
On January 31, 2003, the Securities and Exchange Commission (SEC) approved NASD's proposal to increase dissemination of price information and transparency in the corporate debt markets through TRACE. The proposal, when implemented, will increase dissemination and transparency for over 4,000 TRACE-eligible corporate debt securities. Implementation will occur in two parts, starting with the
Update Regarding Puerto Rico Cases Effective October 21, 2017, FINRA ODR lifted the stay for all cases venued in Puerto Rico. At that time, we advised that we would resume the scheduling of in-person hearings in Puerto Rico for dates on or after December 4, 2017, as long as there were hotels and restaurants available for the parties and arbitrators, and there were no security issues or concerns