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Investor Education
October 17, 2016
… Steps to Plan for Diminished Financial Capacity and Illness Aging can change many things in a person's life, including the ability to … Planning for Diminished Capacity and Illness , issued by the Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy and the Consumer Financial Protection Bureau's (CFPB) Office for Older …
Speech / Testimony
June 25, 2009
… John Gannon Senior Vice President for Investor Education Testimony Before the Subcommittee on Financial Institutions and Consumer Credit June 25, 2009 Subcommittee on Financial Institutions and Consumer Credit Committee on Financial Services U.S. House of Representatives Chairman Gutierrez, Ranking Member Hensarling and Members of the Subcommittee: I am John … FINRA Investor Education Foundation Investor education is a potent form of investor protection, and FINRA's Office of Investor Education provides an array of educational opportunities to investors. These include …
News Release
December 3, 2013
… FINRA Foundation Releases Military Financial Capability Survey WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) today released the results of the National Financial Capability Study's Military Survey at an event featuring Holly Petraeus, Assistant Director for the Office of Servicemember Affairs at the Consumer Financial Protection Bureau; Melissa Koide, Deputy Assistant …
Speech / Testimony
April 5, 2016
… J. Bradley Bennett Executive Vice President, Enforcement Remarks From the SIFMA Anti-Money Laundering and Financial Crimes Conference April 05, 2016 New York, NY As prepared for delivery. Good morning. Money … it has been listed in every FINRA annual regulatory priorities letter issued over the past 11 years. Many of the issues we've focused on over the years remain areas of focus in 2016. For example, we've addressed risk … of firm culture; and five, whether firms identify and address sub-cultures—such as the culture at a branch office, a trading desk or an investment banking department—that may not conform to the overall corporate …
News Release
September 20, 2016
… FINRA Hearing Panel Sanctions Avenir Financial Group and Bars Former CEO Michael Todd Clements for Fraud Firm Fined $229,000, Ordered to Offer … fining the NY-based firm $229,000 and suspending it for two years from engaging in any self-offerings of securities for misconduct including the fraudulent sales of equity interests in the firm and promissory … misrepresentations in the sale of debt and equity interests in the holding company of the firm’s branch office. According to the decision, Avenir, which was thinly capitalized and in need of an immediate capital …
News Release
March 19, 2020
… FINRA Appoints Greg Ruppert Executive Vice President of National Cause and Financial Crimes Detection Programs WASHINGTON – FINRA announced today that it has named Greg Ruppert as … Ruppert fills a new role created after Cameron Funkhouser retired at the end of 2019 as head of FINRA’s Office of Fraud Detection and Market Intelligence (OFDMI). The National Cause and Financial Crimes Detection …
Investor Education
April 20, 2016
… Managing the Financial Impact of Unexpected Job Loss Rarely a day goes by that you don't hear about some company that has … assist you. • Inquire about unemployment insurance. A representative of the state's unemployment insurance office can tell you whether you qualify for coverage, and how the insurance may be affected if you get other …
News Release
July 22, 2009
… FINRA Fines NEXT Financial Group $1 Million for Supervisory Failures That Led to Churning of Customer Accounts, Excessive … million for supervisory violations that primarily involved the failure to supervise its approximately 130 Office of Supervisory Jurisdiction (OSJ) branch managers, who typically supervise transactions and sales …
Investor Education
March 12, 2020
… Investor Tips Financial Peace of Mind in the Age of Coronavirus March 12, 2020 FINRA Staff The headlines are hard to ignore. … markets and investors. Don't fall for the hype. And check out a recent Investor Alert from the SEC's Office of Investor Education and Advocacy warning investors about investment frauds involving claims that a …
Investor Education
April 25, 2018
… Choosing an Investment Professional Protecting Seniors From Financial Exploitation April 25, 2018 FINRA Staff Download the Print Version It happens more than you might … funds as asked? Or should she take time to determine whether her suspicions are justified? "With the aging of the U.S. population, financial exploitation is a serious and growing problem, and protecting senior … new rule, firms were really struggling with this day to day," said Jeanette Wingler, an attorney in FINRA's Office of the General Counsel. The new rule gives "the firms time to investigate when a request for a …