FINRA

Latest articles

6h
Business Wire
Piper Jaffray Companies to Hold Management Conference Call to Discuss 2017 Third Quarter ResultsSecurities brokerage and investment banking services are offered in the U.S. th
Business Wire / Posted 6 hours ago
Securities brokerage and investment banking services are offered in the U.S. through Piper Jaffray & Co., member SIPC and FINRA; in Europe through Piper Jaffray Ltd., authorized and regulated by the U.K. Financial Conduct Authority; and in Hong... Read more
9h
Zero Hedge
The World's Largest ICO Is Imploding After Just 3 MonthsInc, or DLS, to develop Tezos. He listed himself as chief executive. The U.S.
Zero Hedge / Posted 9 hours ago
Inc, or DLS, to develop Tezos. He listed himself as chief executive. The U.S. Financial Industry Regulatory Authority (FINRA) requires registered securities professionals to provide prior written notice to their employer to conduct outside... Read more
6 related articles
14h
San Antonio Express-News
'NXIVM is a litigation machine'while testifying in the case of Ross. "They've reported me to my financial plan
San Antonio Express-News / Posted 14 hours ago
while testifying in the case of Ross. "They've reported me to my financial planning ethics board. They reported me to FINRA (Financial Industry Regulatory Authority) ... both for criminal investigation and misappropriation of funds, which are... Read more
16h
Business Wire
Securities America Adds Priority Financial Groupunions, support their advisors and grow their business.” Securities offered th
Business Wire / Posted 16 hours ago
unions, support their advisors and grow their business.” Securities offered through Securities America, Inc., member FINRA/SIPC. Advisory services offered through PFG Advisors. PFG Advisors and Priority Financial Group are separate entities... Read more
18h
Business Wire
Signature Bank Reports 2017 Third Quarter ResultsSecurities Group Corporation, a wholly owned Bank subsidiary, is a licensed bro
Business Wire / Posted 18 hours ago
Securities Group Corporation, a wholly owned Bank subsidiary, is a licensed broker-dealer, investment adviser and member FINRA/SIPC, offering investment, brokerage, asset management and insurance products and services. This press release and... Read more
25 related articles
1d
EuroNews
Special Report - Backroom battle imperils $230 million cryptocurrency ventureInc, or DLS, to develop Tezos. He listed himself as chief executive. The U.S. F
EuroNews / Posted yesterday
Inc, or DLS, to develop Tezos. He listed himself as chief executive. The U.S. Financial Industry Regulatory Authority (FINRA) requires registered securities professionals to provide prior written notice to their employer to conduct outside... Read more
6 related articles
1d
EuroNews
Backroom battle imperils $230 million cryptocurrency ventureInc, or DLS, to develop Tezos. He listed himself as chief executive. The U.S. F
EuroNews / Posted yesterday
Inc, or DLS, to develop Tezos. He listed himself as chief executive. The U.S. Financial Industry Regulatory Authority (FINRA) requires registered securities professionals to provide prior written notice to their employer to conduct outside... Read more
6 related articles
1d
Reuters
Backroom battle imperils $230 million cryptocurrency ventureInc, or DLS, to develop Tezos. He listed himself as chief executive. The U.S.
Reuters / Posted yesterday
Inc, or DLS, to develop Tezos. He listed himself as chief executive. The U.S. Financial Industry Regulatory Authority (FINRA) requires registered securities professionals to provide prior written notice to their employer to conduct outside... Read more
6 related articles
1d
Business Wire
Investacorp Welcomes Genesis Wealth Advisor Group, LLCArea Lynn Smeraldo, Financial Advisor Dunedin, FL/Greater Tampa Bay Area Abo
Business Wire / Posted yesterday
Area Lynn Smeraldo, Financial Advisor Dunedin, FL/Greater Tampa Bay Area About Investacorp, Inc. Investacorp, Inc. is a FINRA registered independent broker-dealer and Investacorp Advisory Services, Inc., a sister company, is an SEC registered... Read more
1d
Missoulian
Badgley will act, vote with integritybeen listed with his current financial firm since June of this year. He has no
Missoulian / Posted yesterday
been listed with his current financial firm since June of this year. He has no state licenses and has only passed one test (FINRA BrokerCheck), but poses as a financial expert. Don’t be fooled by this charming, inexperienced pretender. Chris... Read more
3d
KTXS Abilene
Wells Fargo sold dangerous investments it didn't understand, regulators sayup to 570,000 borrowers into unneeded car insurance, and wrongly charging homeb
KTXS Abilene / Posted 3 days ago
up to 570,000 borrowers into unneeded car insurance, and wrongly charging homebuyers fees to lock in mortgage rates. Now FINRA, Wall Street's self-regulatory body, has accused Wells Fargo of failing to properly supervise the sale of... Read more
10 related articles
3d
News 8000
Wells Fargo sold dangerous investments it didn't understand, regulators sayup to 570,000 borrowers into unneeded car insurance, and wrongly charging homeb
News 8000 / Posted 3 days ago
up to 570,000 borrowers into unneeded car insurance, and wrongly charging homebuyers fees to lock in mortgage rates. Now FINRA, Wall Street's self-regulatory body, has accused Wells Fargo of failing to properly supervise the sale of... Read more
10 related articles
3d
KECI Missoula
Wells Fargo sold dangerous investments it didn't understand, regulators sayup to 570,000 borrowers into unneeded car insurance, and wrongly charging homeb
KECI Missoula / Posted 3 days ago
up to 570,000 borrowers into unneeded car insurance, and wrongly charging homebuyers fees to lock in mortgage rates. Now FINRA, Wall Street's self-regulatory body, has accused Wells Fargo of failing to properly supervise the sale of... Read more
10 related articles
3d
WFMZ Eastern Pennsylvania and Western New Jersey
Wells Fargo sold dangerous investments it didn't understand, regulators sayup to 570,000 borrowers into unneeded car insurance, and wrongly charging homeb
WFMZ Eastern Pennsylvania and Western New Jersey / Posted 3 days ago
up to 570,000 borrowers into unneeded car insurance, and wrongly charging homebuyers fees to lock in mortgage rates. Now FINRA, Wall Street's self-regulatory body, has accused Wells Fargo of failing to properly supervise the sale of... Read more
10 related articles
3d
KRBC Abilene & KTAB Abilene
Wells Fargo sold dangerous investments it didn't understand, regulators sayup to 570,000 borrowers into unneeded car insurance, and wrongly charging homeb
KRBC Abilene & KTAB Abilene / Posted 3 days ago
up to 570,000 borrowers into unneeded car insurance, and wrongly charging homebuyers fees to lock in mortgage rates. Now FINRA, Wall Street's self-regulatory body, has accused Wells Fargo of failing to properly supervise the sale of... Read more
10 related articles
3d
KXLY-TV Spokane
Wells Fargo sold dangerous investments it didn't understand, regulators sayup to 570,000 borrowers into unneeded car insurance, and wrongly charging homeb
KXLY-TV Spokane / Posted 3 days ago
up to 570,000 borrowers into unneeded car insurance, and wrongly charging homebuyers fees to lock in mortgage rates. Now FINRA, Wall Street's self-regulatory body, has accused Wells Fargo of failing to properly supervise the sale of... Read more
10 related articles
3d
WCYB 5 Tri-Cities
Wells Fargo sold dangerous investments it didn't understand, regulators sayup to 570,000 borrowers into unneeded car insurance, and wrongly charging homeb
WCYB 5 Tri-Cities / Posted 3 days ago
up to 570,000 borrowers into unneeded car insurance, and wrongly charging homebuyers fees to lock in mortgage rates. Now FINRA, Wall Street's self-regulatory body, has accused Wells Fargo of failing to properly supervise the sale of... Read more
10 related articles
3d
KRDO Colorado Springs
Wells Fargo sold dangerous investments it didn't understand, regulators sayup to 570,000 borrowers into unneeded car insurance, and wrongly charging homeb
KRDO Colorado Springs / Posted 3 days ago
up to 570,000 borrowers into unneeded car insurance, and wrongly charging homebuyers fees to lock in mortgage rates. Now FINRA, Wall Street's self-regulatory body, has accused Wells Fargo of failing to properly supervise the sale of... Read more
10 related articles
3d
Reuters
Wells Fargo brokerage to return $3.4 million for risky productsunloaded the products from customer accounts within 30 days, according to the F
Reuters / Posted 3 days ago
unloaded the products from customer accounts within 30 days, according to the Financial Industry Regulatory Authority (FINRA). The products’ value shifted based on market volatility over short durations, but some Wells brokers mistakenly... Read more
3 related articles
3d
KRCR TV Redding
Wells Fargo sold dangerous investments it didn't understand, regulators sayup to 570,000 borrowers into unneeded car insurance, and wrongly charging homeb
KRCR TV Redding / Posted 3 days ago
up to 570,000 borrowers into unneeded car insurance, and wrongly charging homebuyers fees to lock in mortgage rates. Now FINRA, Wall Street's self-regulatory body, has accused Wells Fargo of failing to properly supervise the sale of... Read more
10 related articles
3d
News Channel 12 New Bern
Wells Fargo sold dangerous investments it didn't understand, regulators sayup to 570,000 borrowers into unneeded car insurance, and wrongly charging homeb
News Channel 12 New Bern / Posted 3 days ago
up to 570,000 borrowers into unneeded car insurance, and wrongly charging homebuyers fees to lock in mortgage rates. Now FINRA, Wall Street's self-regulatory body, has accused Wells Fargo of failing to properly supervise the sale of... Read more
10 related articles
3d
KESQ Palm Springs
Wells Fargo sold dangerous investments it didn't understand, regulators sayup to 570,000 borrowers into unneeded car insurance, and wrongly charging homeb
KESQ Palm Springs / Posted 3 days ago
up to 570,000 borrowers into unneeded car insurance, and wrongly charging homebuyers fees to lock in mortgage rates. Now FINRA, Wall Street's self-regulatory body, has accused Wells Fargo of failing to properly supervise the sale of... Read more
10 related articles
3d
Reuters
Wells Fargo brokerage to return $3.4 million for risky productsunloaded the products from customer accounts within 30 days, according to the F
Reuters / Posted 3 days ago
unloaded the products from customer accounts within 30 days, according to the Financial Industry Regulatory Authority (FINRA). The products’ value shifted based on market volatility over short durations, but some Wells brokers mistakenly... Read more
3 related articles
3d
The News & Observer
Wells Fargo to pay millions after brokers offered products they didn’t understandWells Fargo to pay $3.4M in FINRA settlement over ETPs | News & Observer Wells
The News & Observer / Posted 3 days ago
Wells Fargo to pay $3.4M in FINRA settlement over ETPs | News & Observer Wells Fargo to pay $3.4M in FINRA settlement over ETPs | News & Observer Commuters walk by a Wells Fargo automated teller machine location at New York’s Penn Station in this... Read more
3d
Reuters
Wells Fargo to return $3.4 million to brokerage clients over risky productsunloaded the products from customer accounts within 30 days, according to the F
Reuters / Posted 3 days ago
unloaded the products from customer accounts within 30 days, according to the Financial Industry Regulatory Authority (FINRA). The products’ value shifted based on market volatility over short durations, but some Wells brokers mistakenly... Read more
3 related articles
3d
Business Wire
Signature Bank to Host 2017 Third Quarter Results Conference CallSecurities Group Corporation, a wholly owned Bank subsidiary, is a licensed bro
Business Wire / Posted 3 days ago
Securities Group Corporation, a wholly owned Bank subsidiary, is a licensed broker-dealer, investment adviser and member FINRA/SIPC, offering investment, brokerage, asset management and insurance products and services. Since commencing... Read more
3d
Channel NewsAsia
FINRA orders Wells Fargo to pay clients US$3.4 million over sales practice issuesexchange-traded products "without fully understanding their risks and features,
Channel NewsAsia / Posted 3 days ago
exchange-traded products "without fully understanding their risks and features," according to a statement from FINRA. FINRA said the firm also lacked appropriate supervisory procedures for the sales. Wells Fargo did not immediately... Read more
3 related articles
3d
Business Wire
E*TRADE Study Reveals Retail Investors See Market Closing the Year on a High Noteproducts and services to retail customers. Securities products and services are
Business Wire / Posted 3 days ago
products and services to retail customers. Securities products and services are offered by E*TRADE Securities LLC (Member FINRA/SIPC). Commodity futures products and services are offered by E*TRADE Futures LLC (Member NFA). Managed Account... Read more
3d
Business Wire
Opus Bank Recognized as One of the Most Community-Minded Companies in Orange Countyimprovement through its Merchant Banking Division and its broker-dealer subsidi
Business Wire / Posted 3 days ago
improvement through its Merchant Banking Division and its broker-dealer subsidiary, Opus Financial Partners, LLC, Member FINRA/SIPC. Opus Bank’s alternative asset IRA custodian subsidiary has $15 billion of custodial assets and approximately... Read more
6d
Business Wire
Clough Closed-End Funds Commence Tender Offerrisks and uncertainties.As a result, none of the Adviser, the Funds, or any oth
Business Wire / Posted 6 days ago
risks and uncertainties.As a result, none of the Adviser, the Funds, or any other person assumes responsibility for the accuracy and completeness of such statements in the future. ALPS Portfolio Solutions Distributor, Inc, FINRA... Read more
2 related articles
6d
The Hill
Many financial firms want 'best interest' standard in name onlyhow it has been “enforced” by the Securities and Exchange Commission (SEC) and
The Hill / Posted 6 days ago
how it has been “enforced” by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) — and you’ll see that, for them, a “best interest” includes no such obligation. Instead, the securities law “best... Read more
6d
Business Wire
The Reaves Utility Income Fund Announces Regular Monthly Dividend of $0.16 Per Sharein the secondary market.Investors wishing to buy or sell shares need to place o
Business Wire / Posted 6 days ago
in the secondary market.Investors wishing to buy or sell shares need to place orders through an intermediary or broker.The share price of a closed-end fund is based on the market’s value. ALPS Portfolio Solutions Distributor, Inc., FINRA Member Fi... Read more
6d
Business Wire
E*TRADE to Host Education Day in Chicagoproducts and services to retail customers. Securities products and services are
Business Wire / Posted 6 days ago
products and services to retail customers. Securities products and services are offered by E*TRADE Securities LLC (Member FINRA/SIPC). Commodity futures products and services are offered by E*TRADE Futures LLC (Member NFA). Managed Account... Read more
7d
Business Wire
Global Institutional Investors’ Average Target Allocation to Real Estate Exceeds 10%, Finds Hodes Weill & Associates and Cornell Universityadvisory services are provided by Hodes Weill Securities, LLC, a registered bro
Business Wire / Posted 7 days ago
advisory services are provided by Hodes Weill Securities, LLC, a registered broker-dealer with the SEC, and a member of FINRA and SIPC, and internationally, by non-U.S. Hodes Weill affiliates. All investment advisory services are provided by HW... Read more
2 related articles
7d
Computer Technology Review
WWPI – Covering the best in IT since 1980 » Blog Archive » AWS, Microsoft announce open-source Gluon API for developers to build deep learning modelsmake this happen we need to put the right tools in the right hands, and the Glu
Computer Technology Review / Posted 7 days ago
make this happen we need to put the right tools in the right hands, and the Gluon interface is a step in this direction.” “FINRA is using deep learning tools to process the vast amount of data we collect in our data lake,” said Saman Michael Far,... Read more
4 related articles
7d
Business Wire
AWS and Microsoft Announce Gluon, Making Deep Learning Accessible to All Developersmake this happen we need to put the right tools in the right hands, and the Glu
Business Wire / Posted 7 days ago
make this happen we need to put the right tools in the right hands, and the Gluon interface is a step in this direction.” "FINRA is using deep learning tools to process the vast amount of data we collect in our data lake," said Saman Michael Far,... Read more
4 related articles
8d
Business Wire
Atmos Energy Corporation Names Jennifer Hills as Vice President, Investor Relationsin Finance from the Fuqua School of Business at Duke University. She is a Certi
Business Wire / Posted 8 days ago
in Finance from the Fuqua School of Business at Duke University. She is a Certified Public Accountant and holds several FINRA Certifications. About Atmos Energy Atmos Energy Corporation, headquartered in Dallas, is the country's largest... Read more
8d
Business Wire
Commonwealth Financial Network® Congratulates Honorees in NAPA’s Top DC Advisor Firms Listfirms named to this list are: About Commonwealth Financial NetworkFounded in 1
Business Wire / Posted 8 days ago
firms named to this list are: About Commonwealth Financial NetworkFounded in 1979, Commonwealth Financial Network, member FINRA/SIPC, is the nation’s largest privately held Registered Investment Adviser–independent broker/dealer, with headquarters... Read more
8d
Business Wire
Survey Says Teens Prefer Food over Clothing, Nike is Losing Its Heat and Streetwear is on the RiseSecurities brokerage and investment banking services are offered in the U.S. th
Business Wire / Posted 8 days ago
Securities brokerage and investment banking services are offered in the U.S. through Piper Jaffray & Co., member SIPC and FINRA; in Europe through Piper Jaffray Ltd., authorized and regulated by the U.K. Financial Conduct Authority; and in Hong... Read more
2 related articles
8d
Business Wire
Harris Williams & Co. Advises Cotton Holdings, Inc. on Its Recapitalization& Co. website. Investment banking services are provided by Harris Williams LLC
Business Wire / Posted 8 days ago
& Co. website. Investment banking services are provided by Harris Williams LLC, a registered broker-dealer and member of FINRA and SIPC, and Harris Williams & Co. Ltd, which is a private limited company incorporated under English law with its... Read more
8d
Market Watch
Tony Robbins: 7 questions you must ask a financial adviseror business card and see if there’s a sentence like this: “Securities offered t
Market Watch / Posted 8 days ago
or business card and see if there’s a sentence like this: “Securities offered through [adviser’s company name], member FINRA and SIPC.” This refers to the Financial Industry Regulatory Authority and the Securities Investor Protection... Read more
9d
Eagle Bulletin
Kriesel joins Hansen Advisory ServicesScience and Psychology from the State University of New York at Buffalo. She is
Eagle Bulletin / Posted 9 days ago
Science and Psychology from the State University of New York at Buffalo. She is a licensed New York State Life, Accident and Health Insurance Agent and holds FINRA Series 7, 63 and 65 licenses. RelatedComment on this Story More in this... Read more
9d
Computer Technology Review
WWPI – Covering the best in IT since 1980 » Blog Archive » IBM adds capabilities for on-premises customers to manage compliance data with object storageprotect data from deletion or modification as required for their compliance wit
Computer Technology Review / Posted 9 days ago
protect data from deletion or modification as required for their compliance with regulations like SEC Rule 17a-4(f) and FINRA (Rule 4511). This new capability can help companies that must preserve electronic records in a non-rewritable and... Read more
9d
Business Wire
Opus Bank’s Merchant Banking Division Advises Destination Pet on Its Placement of Debt and Equity Growth Capitalimprovement through its Merchant Banking Division and its broker-dealer subsidi
Business Wire / Posted 9 days ago
improvement through its Merchant Banking Division and its broker-dealer subsidiary, Opus Financial Partners, LLC, Member FINRA/SIPC. Opus Bank’s alternative asset IRA custodian subsidiary has $16 billion of custodial assets and more than 52,000... Read more
9d
Business Wire
Clough Global Opportunities Fund Declares a Monthly Cash Distribution of $0.0994 Per Sharethat could affect actual results to differ from these statements include, among
Business Wire / Posted 9 days ago
that could affect actual results to differ from these statements include, among other factors, material, negative changes to the asset class and the actual composition of the portfolio. ALPS Portfolio Solutions Distributor, Inc, FINRA Member... Read more
9d
Business Wire
Clough Global Dividend and Income Fund Declares a Monthly Cash Distribution of $0.1216 Per Sharethat could affect actual results to differ from these statements include, among
Business Wire / Posted 9 days ago
that could affect actual results to differ from these statements include, among other factors, material, negative changes to the asset class and the actual composition of the portfolio. ALPS Portfolio Solutions Distributor, Inc, FINRA Member... Read more
10d
Business Wire
Third Annual Survey Finds Record Levels of Interest in M&A from Leaders of Privately Held Companiesservices. Investment banking services are provided by Harris Williams LLC, a r
Business Wire / Posted 10 days ago
services. Investment banking services are provided by Harris Williams LLC, a registered broker-dealer and member of FINRA and SIPC, and Harris Williams & Co. Ltd, which is a private limited company incorporated under English law with its... Read more
10d
WFMZ Eastern Pennsylvania and Western New Jersey
Liz Weston: Why NFL players go broke, and what you can learnthe Best Financial Moves - https://nerd.me/athlete-finances Sports Illustrated
WFMZ Eastern Pennsylvania and Western New Jersey / Posted 10 days ago
the Best Financial Moves - https://nerd.me/athlete-finances Sports Illustrated: How (and why) athletes go broke https://www.si.com/vault/2009/03/23/105789480/how-and-why-athletes-go-broke# Broker Check by FINRA - https://brokercheck.fi... Read more
17 related articles
10d
ABC 7 Gulfshore News
Liz Weston: Why NFL players go broke, and what you can learn(and why) athletes go broke https://www.si.com/vault/2009/03/23/105789480/how-
ABC 7 Gulfshore News / Posted 10 days ago
(and why) athletes go broke https://www.si.com/vault/2009/03/23/105789480/how-and-why-athletes-go-broke# Broker Check by FINRA - https://brokercheck.finra.org/ Copyright 2017 The Associated Press. All rights reserved. This material may not be... Read more
17 related articles
10d
FOX Business
Why NFL players go broke, and what you can learnthe Best Financial Moves - https://nerd.me/athlete-finances Sports Illustrated
FOX Business / Posted 10 days ago
the Best Financial Moves - https://nerd.me/athlete-finances Sports Illustrated: How (and why) athletes go broke https://www.si.com/vault/2009/03/23/105789480/how-and-why-athletes-go-broke# Broker Check by FINRA - https://brokercheck.fi... Read more
17 related articles
More

In this news