FINRA

Both the SEC and FINRA are seeking details from the broker on multiple matters.

The regulator stated that sanctions imposed represent the largest financial penalty ever ordered by them.

The company can expand its product line under the new license.

The analyst purchased shares, gathering insider information from his colleague.

The market-maker neither agreed nor denied the allegations.

Dumont will report to the President and CEO, Robert W. Cook and become a member of FINRA’s Management Committee.

The regulatory authority fined LPL for failing to establish a supervisory system to meet compliance requirements.

The mass email scam appears to be from the source domain name '@invest-finra.org'.

The bank accepted the censure and a fine of $75,000.

The authority imposed a penalty on Santander as the firm failed to capture 6 million emails due to a ...

Jones brings unrivalled industry insight and expertise to its leadership team.

The authority fined CitiGroup for failing to disclose potential conflict of interest related to equity research reports.

Rufino will leave the US authority at the end of this year.

The company is planning for launch in a couple of months.

The broker did not admit or deny the allegations, but settled to prevent the regulator from taking any further ...

The broker did not accept or reject the charges against it.

FINRA has accused the bank of failing to supervise one of its registered representatives.

FINRA has requested that the Internet domain registrar suspend services for “finnra.org”.

Merrill Lynch did not have adequate systems and controls in place to detect and prevent the violations.

The company did not admit or deny the allegations.

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