Insights
January 11, 2016
The biggest penalties FINRA levied last came from a wide variety of violations: Puerto Rico The Puerto Rico bond crisis was the source of a couple substantial FINRA actions. The regulator fined UBS Fi...
January 8, 2016
William Galvin, secretary of the commonwealth of Massachusetts, has charged a securities firm operating at Citizens Bank locations with “dishonest and unethical conduct” for selling an eld...
January 7, 2016
In 2015, FINRA secured $96.2 million in restitution, nearly triple the $32.3 million it did in 2014, evidencing the regulator’s push to be more aggressive in returning money to investors ripped ...
January 6, 2016
Despite headlines centered on challenges facing the cryptocurrency, Bitcoin is still booming with some of the highest mining and transaction rates in its history. The digital currency has yet to find ...
January 5, 2016
FINRA intends to investigate whether complying with rules is part of brokerage firms’ culture during its examinations this year. The regulatory authority announced on Tuesday that it will more f...
January 4, 2016
Last month, Jesse Morgan Hinson of Troy, Alabama was arrested for alleged violations of the Alabama Securities Act. Hinson turned himself in to Houston County law enforcement officials based on an arr...
December 31, 2015
FINRA wants investors to get off on the right financial foot in 2016 and offers investors these six tips for the new year: If you don’t know where you’re going, any road will take you there. Are your ...
December 30, 2015
According to Colorado securities regulators, two men have been arrested in unrelated securities fraud cases. Eddie Johnson of Sterling, Colorado was taken into custody after he was indicted on seven c...
December 29, 2015
FINRA ordered Barclays Capital, Inc. to pay over $10 million in restitution, including interest, to affected customers for mutual fund-related suitability violations. These suitability violations rela...
December 28, 2015
Denny P. Darmodihardjo (Roswell, GA) submitted an AWC in which he was assessed a deferred fine of $25,000 and suspended from association with any FINRA member in any capacity for 18 months. FINRA foun...
December 28, 2015
Wunderlich Securities, Inc. (Memphis, TN) submitted an AWC in which the firm was censured and fined $50,000. FINRA found that it failed to establish, maintain, and enforce an adequate supervisory syst...
December 28, 2015
The SEC ordered Morgan Stanley Investment Management and brokerage firm Societe Generale Americas to pay $8.8 million and $1 million respectively for what it says was unsupervised prearranged trading ...
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