A view of the exterior of the JP Morgan Chase & Co. corporate headquarters in New York City May 20, 2015. REUTERS/Mike Segar/Files NEW YORK (Reuters) – The Financial Industry Regulatory Authority said on Tuesday it fined JPMorgan Chase & Co’s (JPM.N) securitie... More »
The Financial Industry Regulatory Authority said on Thursday that Susan Axelrod, its executive vice president for regulatory operations, is leaving the securities industry self-regulator for a job in the private sector early next year. More »
A brokerage industry regulator on Monday ordered Wells Fargo & Co to return $3.4 million to customers after selling them inappropriate investment products, the latest sign that a culture of problematic sales practices has bled into areas outside its consumer b... More »
The head of the Financial Industry Regulatory Authority told a congressional committee on Thursday that FINRA overhauled its policy on allowing public access to information it has on brokers' professional and financial records and will allow the public to down... More »
The U.S. Financial Industry Regulatory Authority announced a new rule on Thursday that allows brokers to pause disbursements from client accounts if they suspect a client is suffering from dementia or being influenced by caregivers or scam artists. More »
A Wells Fargo branch is seen in the Chicago suburb of Evanston, Illinois, U.S. on February 10, 2015. REUTERS/Jim Young/File Photo – RTX2TOT5 A private U.S. regulator launched a hotline on Friday to hear from ex-Wells Fargo & Co employees who were fired for all... More »
A sign for the Financial Industry Regulatory Authority (FINRA) is seen outside the offices in New York’s financial district July 22, 2015. REUTERS/Brendan McDermid Wall Street’s industry-funded watchdog took steps to crack down more quickly on manipulative tra... More »
A Texas wealth management firm U.S. regulators said grew too fast to supervise agreed to pay more than $2 million in fines and restitution to settle charges its senior management failed to rein in partner offices where brokers were churning accounts. More »
The Financial Industry Regulatory Authority’s board of governors has approved a plan that would require brokerage firms to disclose how much they mark up the price of most bonds they sell to retail customers, the Wall Street watchdog said on Friday. FINRA’s co... More »
