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Tag: FINRA fine

Blog, Securities Fraud Articles

FINRA Fines Wells Fargo $1,000,000

The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Wells Fargo Advisors, LLC of St. Louis, $1 million...

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Blog, Securities Fraud Articles

FINRA Fines Jefferies & Company Over Auction Rate Securities

The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Jefferies & Company, Inc. $1.5 million for...

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Blog, Securities Fraud Articles

Recovery of Charles Schwab YieldPlus Losses

The White Law Group is investigating claims on behalf of investors that invested in Charles Schwab’s YieldPlus fund. The Financial...

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Blog, Securities Fraud Articles

FINRA fines Next Financial for Supervisory Failures

In 2009, FINRA announced that it had fined NEXT Financial Group, Inc., headquartered in Houston, Texas, $1 million for supervisory...

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Blog, Securities Fraud Articles

FINRA Fines Firms For Overstating Trade Volume

In 2008, FINRA announced that it has fined 19 broker-dealers a total of $2.8 million for substantially overstating their advertised trade...

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Blog, Securities Fraud Articles

FINRA Fines Goldman Sachs

FINRA recently announced that it has fined Goldman, Sachs & Co. $650,000 for failing to disclose that two of its registered...

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