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Tag: FINRA fines

Blog, Securities Fraud Articles

FINRA Fines Surge 43% in 2020

FINRA sees 43% increase in fines, yet disciplinary actions were only up 1% in 2020. The Financial Industry Regulatory Authority Inc....

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Blog

Multi-Million Dollar FINRA Fines in 2018

8 Firms hit with FINRA Fines in 2018 According to Investment News, the Financial Industry Regulatory Authority (FINRA) hit the following 8...

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Blog, Current Investigations, Securities Fraud Articles

FINRA Fines Four Big Brokers $4.75 Million

Financial Industry Regulatory Authority’s claims that they failed to have adequate risk controls Deutsche Bank Securities Inc., Citigroup...

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Current Investigations, Securities Fraud Articles

FINRA Cracks Down on Eight Firms for Failure to Supervise

The Financial Industry Regulatory Authority Inc. has fined eight firms a total of $6.2 million and ordered five of them to pay another $6.3...

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