September 08, 2016

WASHINGTON – The Financial Industry Regulatory Authority (FINRA) today announced it has fined Deutsche Bank Securities Inc. $6 million for failing to provide complete and accurate trade data in an aut…

September 08, 2016

WASHINGTON — While Americans as a whole are feeling less financial stress, making ends meet remains a daily struggle for millions — particularly women, millennials, African-Americans, Hispanics, and t…

September 08, 2016

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Board of Governors today unanimously elected John J. “Jack” Brennan, Vanguard Group Chairman Emeritus and Senior Advisor, as FINRA Chai…

September 08, 2016

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Prudential Annuities Distributors, Inc. $950,000 for failing to detect and prevent a scheme that resu…

September 08, 2016

WASHINGTON – The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a complaint against broker Hank Mark Werner of Northport, New York, charging him with securities frau…

September 08, 2016

FINRA announced today that it has fined Barclays Capital Inc. $1.3 million for systemic and significant Order Audit Trail System (OATS) reporting violations and related supervisory failures.

September 08, 2016

If You Get a Call Like This, Don’t Bite—and Don’t Buy WASHINGTON — Boiler room-style calls touting the next hot stock are alive and well, and they’re costing investors dearly, according to an Inves…

September 08, 2016

FINRA today announced it has fined Deutsche Bank Securities Inc. $12.5 million for significant supervisory failures related to research and trading-related information it disseminated to its employees…

September 08, 2016

While most Americans understand the importance of saving and investing, many do not possess the basic financial knowledge needed to make sound financial decisions, according to a recent study released…