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By Press Release |
April 16, 2013
The regulator says Merrill Lynch failed to provide customers the best execution in non-convertible preferred securities transactions.
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By Press Release |
January 8, 2013
The Financial Industry Regulatory Authority was busy in 2012, assessing $68 million in fines and ordering a record $34 million in restitution.
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By Press Release |
December 27, 2012
FINRA fined the companies more than $3.35 million required them to pay a total of $1.13 million in restitution.
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By Lee Spears and Sarah Frier, Bloomberg |
May 18, 2012
Facebook Inc. is set to start trading today after a record initial public offering that made the social network more costly than almost every company in the Standard & Poor’s 500 Index.
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By Nina Mehta and Joseph Ciolli, Bloomberg |
May 17, 2012
Facebook Inc.’s initial public offering will be the biggest test of a rule introduced in 2011 to protect investors and curb volatility on the first day a company trades.
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By Christopher Condon and Joshua Gallu, Bloomberg |
May 1, 2012
Citigroup Inc., Morgan Stanley, UBS AG and Wells Fargo & Co. agreed to pay a combined $9.1 million to settle regulatory claims they failed to adequately supervise the sale of leveraged and inverse exchange-traded funds in 2008 and 2009.
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By Press Release |
December 27, 2011
FINRA says Credit Suisse entered millions of short sale orders without reasonable grounds to believe that the securities could be borrowed.
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By Press Release |
October 27, 2011
The SEC today ordered FINRA to hire an independent consultant and undertake other remedial measures to improve its policies, procedures, and training
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By Michael J. McFarlin |
May 1, 2011
A repeal of the "5% policy"?
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By Daniel P. Collins |
May 1, 2011
Finra fined UBS Financial Services, Inc. $2.5 million, and required UBS to pay $8.25 million in restitution
