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Latest News about Financial Industry Regulatory Authority

Recent news which mentions Financial Industry Regulatory Authority

FINRA: Raymond James firms agree to pay combined $8M in restitution related to educational savings plans
Tags Raymond James Financial, Inc/ Fenner & Smith Incorporated Raymond James Financial Services
From Business Journals
FINRA disciplines three Tampa Bay area brokers
Tags Michael Patrick Nixon Bobby Wayne Coburn Anthony Andrea La Gala
From Business Journals
Baird settles 2013 conflict of interest allegation, agrees to $150K fine
Tags Financial Planning Robert W/ Baird & Co/ (Milwaukee WI) Banking & Financial Services
From Business Journals
SWBC Investment Services to give advice to Dallas-area credit union members
Tags Credit Union Of Texas (Dallas TX) Alejandro Sierra Banking & Financial Services
From Business Journals
Bitcoin review: Litecoin shines, Gemini wants a broker-dealer license
Tickers BITCOMP USD-BITSTAMP USD-COINBASE
Tags Financial Planning Financial Industry Regulatory Authority David Marcus
From Business Journals
Former SEC official tapped as top Florida regulator
Tags Banking & Financial Services Linda Charity David Altmaier
From Business Journals
SEC sues Clearwater financial firms, alleges they sold sham company stock
Tags Spartan Securities Group Financial Industry Regulatory Authority Eric I/ Bustillo
From Business Journals
The Tampa Bay area's biggest banking and finance stories of 2018
Tags American Strategic Insurance Home Shopping Network Banking & Financial Services
From Business Journals
Morgan Stanley fined $10 million for lapses in money-laundering prevention
Tags Financial Planning Banking & Financial Services Morgan Stanley
From Business Journals
Los Angeles stocks that are driving Wall Street's latest bull run
Tickers AA
Tags Retailing Clean Energy Fuels Patrick Industries, Inc/
From Business Journals
Chicago stocks that are driving Wall Street's latest bull run
Tickers GGP
Tags Huron Consulting Group Tootsie Roll Industries Kemper Corp/
From Business Journals
New York City stocks that are driving Wall Street's latest bull run
Tags G/III Commercial Real Estate Sirius XM Holdings
From Business Journals
Here are the San Francisco Bay Area stocks driving Wall Street's latest bull run
Tags Nexstar J/C/ Penney Company, Inc/ Holding Company Patrick
From Business Journals
SEC: Former ClubCorp exec admitted insider trading violations
Tags Legal Services U/S/ Securities and Exchange Commission (Washington, DC) ClubCorp Holdings Inc/ (Dallas, TX)
From Business Journals
Scott, cabinet eye short list for state financial regulator position
Tags Linda Charity Rick Scott William Jannace
From Business Journals
Former New York investment adviser charged with 99 counts of fraud
Tags Government & Regulations Citigroup Citigroup Inc/
From Business Journals
Federal court hands down $500K judgment against St. Pete man charged in stock scheme
Tags U/S/ Securities and Exchange Commission Financial Industry Regulatory Authority Government & Regulations
From Business Journals
Banking Roundup: Wells Fargo under another Fed probe… BofA CEO talks dangers of technology… Banks saving millions under tax breaks
Tags Financial Industry Regulatory Authority J P Morgan Chase & Co Bank of America Corp/
From Business Journals
How a Portland startup is giving Chipotle, Target and Netflix fans a piece of their favorite companies
Tags Giftango Target Financial Industry Regulatory Authority
From Business Journals
Noted Tampa Bay investment advisor lands a new job with a company expanding in Florida
Tags Ryan York Roy Speer Morgan Stanley
From Business Journals
Tampa Bay investment adviser Ami Forte will fight potential disciplinary charge ‘tooth and nail’
Tags Chuck Lawrence Morgan Stanley Roy Speer
From Business Journals
Email issues lead to $2 million fine, censure against Raymond James Financial Services
Tags Banking & Financial Services Government & Regulations Financial Industry Regulatory Authority
From Business Journals
Local stockbroker caught up in $2.35M Ponzi scheme
Tickers SEC
Tags Banking & Financial Services SEC Financial Industry Regulatory Authority
From Business Journals
Sarasota broker wins $3M arbitration award
Tags Jarrod Malone UBS Financial Services James L/ Springer Jr/
From Business Journals
Palo Alto private equity firm's founder faces insider trading charges related to Lattice deal
Tags Lattice Semiconductor Corporation Lattice Semiconductor Corp Financial Industry Regulatory Authority
From Business Journals
Wells Fargo ordered to reimburse investment clients $3.4M over sales practice issues
Tags Wells Fargo & Company Wells Fargo Financial Industry Regulatory Authority
From Business Journals
Albany brokerage firm censured, fined $750,000 by regulatory agency
Tags Banking & Financial Services Candace King Paradigm Capital Management
From Business Journals
Senators push for expedited FINRA review of Wells Fargo, as scandal fallout continues
Tickers WFC
Tags Sherrod Brown Bob Casey Banking & Financial Services
From Business Journals
Everything You Need To Know About A Series 7 License
Tags Education General Series 7 license
From Benzinga
SEC slaps BofA with record $12.5M fine for mini-flash crashes
Tickers SEC
Tags U/S/ Securities Banking & Financial Services Google
From Business Journals
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