At the same time, First Trust employees falsified expense records covering more than $650,000 in gifts, meals and entertainment, Finra said. The firm then sent brokerage clients false or misleading ...
The Financial Industry Regulatory Authority fined First Trust Portfolios LP $10 million, saying the firm gave clients ...
Crowdfund Insider is the leading news website covering the emerging global industry of disruptive finance including ...
WASHINGTON--(BUSINESS WIRE)--FINRA published today the 2025 FINRA Industry Snapshot, the annual statistical report on registered representatives, brokerage firms and market activity that FINRA ...
FINRA President and CEO Robert Cook, pictured here at a House Financial Services hearing, said at FINRA's May conference that the organization has brought in outside consultants "to figure out how we ...
The Supreme Court just declined to hear a penny stock broker’s legal challenge to FINRA’s constitutionality. Despite it, a new bill aims to strip the self-regulatory body of its key powers, moving ...
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