Keyword: FINRA

49 results found

Firm's systems failed to spot clients who were eligible for cheaper fund series

senior couple on a rollercoaster

American SRO proposes rule to accelerate resolutions for vulnerable investors

gavel on a wooden bench

Firm violated SEC and SRO rules, including analyst disclosure requirements

Justitia, the goddess of justice

FINRA has fined the firm and ordered restitution, for early rollover recommendations

courtroom gavel

SRO adopts rule changes to enhance investor protection


FINRA sanctions Cantor Fitzgerald

  • By: Staff
  • March 5, 2019 March 5, 2019
  • 10:57

At the National Institute on U.S.-Canadian Securities Litigation in Toronto this week, regulators and litigators discussed industry developments. Best interest standard at a standstill? Panellists expressed concern about the best interest standard’s regulatory uncertainty and unintended consequences for advisors and firms’ business models. For example, the OSC needs to clarify the difference between a best […]

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  • By: Staff
  • July 27, 2017 August 21, 2018
  • 17:10

FINRA has imposed a four-month suspension on Marco Antonio Daniel.

  • By: Staff
  • February 1, 2016 August 21, 2018
  • 10:26

FINRA has censured and fined Macquarie Capital (USA) US$2.95 million. Find out why.

  • By: Staff
  • January 6, 2016 August 21, 2018
  • 11:02