-
A case settled this week was the first brought in decades by FINRA for a rule violation on quotations.
April 15 -
Jeffrey Fladell, who retired from RBC Capital Markets in 2017, agreed to pay that fine while neither admitting nor denying FINRA's charges.
March 26 -
In two municipal bond transactions, Aegis Capital Corp. sold to its customers at prices that were 40% higher than the market rate.
March 12 -
A consildated effort is needed for better transparency of pricing in the municipal market, especially for retail investors.
March 10 -
The charges against Ricky Mantei stem from allegations of prearranged trading in violation of his firm's established procedures.
February 23 -
Dealer groups say changes to FINRA rules should be cohesive with municipal rules.
February 17 -
Dealers say increased focus on systemic pennying has decreased its activity, while others aren't so sure.
February 3 -
Robbi Jones, principal at Kipling Jones & Co., received that ruling on appeal from FINRA’s National Adjudicatory Council late last month.
January 4 -
The program has drawn comparisons to the Securities and Exchange Commission's MCDC.
December 30 -
Transamerica Financial Advisors has agreed to pay $321,167 in restitution as part of a settlement of Financial Industry Regulatory Authority charges that it failed to properly supervise its brokers selling shares of 529 plans.
December 21