FINRA fine
Tag Archive

November 11, 2010

FINRA Fines Firms For Overstating Trade Volume

In 2008, FINRA announced that it has fined 19 broker-dealers a total of $2.8 million

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November 9, 2010

FINRA Fines Goldman Sachs

FINRA recently announced that it has fined Goldman, Sachs & Co. $650,000 for

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October 29, 2010

FINRA Fines For Mutual Fund Sales Practices

In or about 2009, FINRA fined 25 broker-dealers a total of $2,145,000 for failures

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October 26, 2010

Regulatory History of Wedbush Securities

The White Law Group reviews securities fraud cases throughout the country, including

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October 21, 2010

Janney Montgomery Scott Regulatory History and Sales Practices

Established in 1832, Janney Montgomery Scott is a Philadelphia, Pennsylvania based

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October 21, 2010

Information Regarding Waddell & Reed’s Sales Practices

Waddell & Reed’s sales practices have been the subject of regulatory inquiry

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October 20, 2010

FINRA Fines Edward Jones For Supervisory And Recordkeeping Failures.

FINRA recently announced that it has fined Edward D. Jones & Co., L.P. of St.

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October 19, 2010

FINRA Fines Deutsche Bank Securities For Negligently Misrepresenting Information On...

FINRA recently announced that it has fined Deutsche Bank Securities, Inc. $7.5m for

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October 6, 2010

FINRA Fines Atlanta based broker-dealer SunTrust Investment Services

FINRA recently today that it has ordered SunTrust Investment Services, Inc. of

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September 30, 2010

Penson Financial Services and Pinnacle Capital Markets fined by FINRA.

In February 2010, the Financial Industry Regulatory Authority (FINRA) announced that

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