Regulator sanctions five firms for paying lobbyists with bond funds 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.
Chamber, oil trade groups sue SEC over foreign payment rule By Tom Schoenberg | October 10, 2012 The rule stems from the Dodd-Frank financial reform law that directed oil, gas and mining companies to report payments made to U.S. and foreign governments.
Morgan Keegan takes $200M hit in bond fund case By Press Release | June 22, 2011 The company settles allegations that its bond fund sales materials exaggerated claims and failed to disclose risks.
FINRA launches disciplinary actions database By Press Release | May 16, 2011 The web-based tool allows public to access disciplinary documents.
