Finra

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 2018-01-07 04:37 

NY Post

FINRA ruling on broker's sports betting is 'moronic': lawyer...

The regulator is an ass. That's what a securities industry gadfly says of the recent enforcement of a Financial Industry Regulatory Authority (FINRA) rule against a broker who made sports handicapping picks. Longtime securities lawyer Bill Singer comp...

 2017-12-30 05:00 

Forbes

How Financial Services Firms Should Expect Vigorous Enforcement From FINRA In 2018...

A discussion of how FINRAs Enforcement group operates and what financial services firms should expect in 2018....

 2017-12-29 16:46 

Quartz

For four years, Citigroup told clients to "sell" when it really meant "buy"...

If analyst ratings are important, how did the errors persist for so long?...

 2017-12-28 17:24 

Globe and Mail

Citigroup to pay $11.5-million in fines, restitution over errant stock ratings...

FINRA says Citigroup would sometimes display the wrong research ratings on more than 1,800 stocks...

 2017-12-27 14:43 

Fox Business

JPMorgan to pay $2.8M to settle FINRA charges...

FINRA says it fines J.P. Morgan Securities LLC $2.8 million for customer protection rule violations and supervisory failures....

 2017-12-27 14:42 

Reuters

BRIEF-JPMorgan to pay $2.8 mln to settle FINRA charges...

Finra says it fines jpmorgan securitiesllc $2.8 million for customer protection rule violations andsupervisory failuresFinra says deficiencies occurred from march 2008 to june 2016,and that shares that should have been kept segregated wereavailable for jp...

 2017-12-27 14:42 

Reuters

[ UK ]

BRIEF-JPMorgan to pay $2.8 mln to settle FINRA charges...

Finra says it fines jpmorgan securities llc $2.8 million for customer protection rule violations and supervisory failures Finra says deficiencies occurred from march 2008 to june 2016, and that shares that should have been kept segregated were available f...

 2017-12-21 19:45 

CoinDesk

FINRA: Beware Public Stocks That Tout Cryptocurrency Connection...

FINRA, a self-regulatory authority for the financial industry in the U.S., has issued a new warning about cryptocurrency-related stock fraud....

 2017-12-21 18:07 

CNBC

Securities regulator just warned people not to get fooled by bitcoin cold calling scams...

Bitcoin's skyrocketing stocks pushes cryptocurrency mania -- and scams -- to highs, but FINRA's guidelines could help investors avoid getting duped....

 2017-12-21 17:29 

Business Insider

A US financial watchdog is warning investors about crypto 'pump and dump' schemes...

FINRA, the US financial regulator, put out an alert on Thursday to warn investors about risks associated with investing in companies linked to cryptocurrency......

 2017-12-21 16:58 

Zero Hedge

Finra Issues Warning On Crypto-Related Stock Scams...

Yesterday morning we explained the latest and greatest get rich quick scheme in the stock market as follows: Now that it is abundantly clear that for a stock to explode higher, all that is necessary - and sufficient - is a press release mentioning the com...

 2017-12-19 22:02 

Reuters

Six red flags from first-ever FINRA early exam results: Cyber security No. 1...

By Richard SatranNEW YORK (Thomson Reuters Regulatory Intelligence) - The Financial Industry Regulatory Authority for the first time has released an interim report on findings of early broker-dealer compliance exams, as the industry self regulator works t...

 2017-12-19 18:46 

Reuters

BRIEF-FINRA Fines Merrill Lynch $1.4 Mln for Supervisory Deficiencies...

Dec 19 (Reuters) -* FINRA FINES MERRILL LYNCH $1.4 MILLION FOR SUPERVISORYDEFICIENCIES RELATED TO EXTENDED SETTLEMENT TRANSACTIONS - FINRASTATEMENT Source : bit.ly/2knfgb9Further company coverage:...

 2017-12-19 18:13 

Wall Street Journal

Merrill Lynch Fined $1.4 Million Over Margin Credit, Other Violations...

Merrill Lynch agreed to pay $1.4 million to settle claims that it improperly extended hundreds of millions of dollars in excess credit to customers who traded certain bonds and equities with the firm, Finra said....

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