- New FINRA Foundation Research: Two-thirds of U.S. Investors Fail Investing Quiz and Face Confusion about Investment Account Fees
Number of Women With Non-Retirement Investments Remains Stagnant, While Ownership Among Men, Millennials and African-Americans Increases WASHINGTON – Knowledge of key investing concepts among investor … - FINRA, NASDAQ, BX, PHLX, ISE, NYSE, NYSE Arca, NYSE American, Cboe, BZX, BYX, EDGA, and EDGX Permanently Bar Samuel Lek and Fine Lek Securities Corporation for Supervisory and Market Access Rule Violations
WASHINGTON — Samuel Lek, former Chief Executive Officer of Lek Securities Corporation (Lek Securities), has been permanently barred from the securities industry in all capacities, and Lek Securities w … - Report from FINRA Board of Governors Meeting – December 2019
Board Approves Rule Proposals, Reaffirms Financial Guiding Principles WASHINGTON – FINRA’s Board of Governors met on Dec. 4-5 at FINRA’s offices in New York, where it approved two rule proposals, rece … - FINRA, Cboe, Nasdaq, NYSE and Affiliated Exchanges Fine Credit Suisse Securities $6.5 Million for Supervision and Market Access Rule Violations
WASHINGTON—FINRA, Cboe Global Markets, The Nasdaq Stock Market LLC, the New York Stock Exchange, and their affiliated Exchanges (collectively, “Exchanges”) today announced that they censured Credit Su … - FINRA Fines Robinhood Financial, LLC $1.25 Million for Best Execution Violations
WASHINGTON—FINRA announced today that it has fined Robinhood Financial, LLC $1.25 million for best execution violations related to its customers’ equity orders and related supervisory failures that sp … - FINRA Sanctions Five Firms for Failing to Reasonably Supervise Custodial Accounts
Firms Did Not Know Essential Facts About Customers With Custodial Accounts Established Pursuant to the Uniform Transfers to Minors Act (UTMA) and Uniform Gifts to Minors Act (UGMA) WASHINGTON – FINRA … - FINRA Orders Oppenheimer & Co. Inc. to Pay $3.8 Million in Restitution to Customers for Supervisory Failures Involving Unit Investment Trusts
WASHINGTON—FINRA announced today that it has ordered Oppenheimer & Co. Inc. to pay more than $3.8 million in restitution to customers who incurred potentially excessive sales charges caused by ear … - FINRA Releases 2020 Risk Monitoring and Examination Priorities Letter
WASHINGTON—FINRA today released its 2020 Risk Monitoring and Examination Priorities Letter, highlighting new priorities as well as identifying areas of ongoing concern that FINRA will continue to focu … - FINRA Promotes Jessica Hopper to Head of Enforcement
WASHINGTON—FINRA announced today that it has promoted Jessica Hopper to Executive Vice President and Head of Enforcement. Hopper has been Acting Head of Enforcement since Susan Schroeder announced her … - FINRA Executive Vice President for Regulatory Policy and Legal Compliance Officer Tom Selman Announces Retirement
WASHINGTON—FINRA announced today that Tom Selman, Executive Vice President for Regulatory Policy and Legal Compliance Officer, is retiring after 24 years at the organization.
