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FINRA Fines Wedbush Securities $1.5 Million for SEC Rule Violations

The Financial Industry Regulatory Authority has fined Wedbush Securities Inc. $1.5 million for violating the Securities and Exchange Commission’s customer protection and net capital...

FINRA Enacts First National Standards to Protect Senior Investors

Two FINRA rule changes took effect yesterday that address the financial exploitation of seniors and vulnerable adults, putting in place the first uniform, national...

FINRA Censures Three Credit Suisse Execs

The Financial Industry Regulatory Authority is requiring Michael Dryden, Jay Kim and Peter Sack, three managing directors at Credit Suisse Securities, to retake their...

FINRA Suspends Adviser Over Fake Sex Ads

The Financial Industry Regulatory Authority has suspended former Edward Jones broker Paul Martin Betenbaugh for three months for allegedly posting fake Craigslist sex ads...

SEC Charges Former Cetera Adviser with Securities Fraud

The Securities and Exchange Commission has levied fraud charges against a California-based hybrid advisory firm and its two senior executives for lying to investors...

FINRA Bars Former Dawn Bennett Associate

  The Financial Industry Regulatory Authority has barred Bradley Mascho for refusing to appear for on-the-record testimony relating to its investigation of fraud, undisclosed outside...

FINRA Fines New York Brokerage Firm $700,000 for Misleading Sales Literature

The Financial Industry Regulatory Authority has fined New York-based brokerage firm Meyers Associates LP, now known as Windsor Street Capital, $700,000 for using “unbalanced...