Brad Bennett

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  FINRA Orders Raymond James to Pay $1.69 Million in Restitution

  By Melanie Waddell, AdvisorOne  |  September 29, 2011

  FINRA announced Thursday that it had ordered Raymond James & Assoc. and Raymond James Financial Services to pay restitution of $1.69 million to more than 15,500 investors who were charged unfair and unreasonable commissions on securities transactions.

• FINRA Fines 5 Broker-Dealers

  By Marlene Y. Satter, AdvisorOne  |  September 7, 2011

  Five broker-dealers were fined by FINRA for understating the amount of total commissions they charged to customers in trade confirmations and on fee schedules.

• FINRA Fines Citigroup $500,000

  By Marlene Y. Satter, AdvisorOne  |  August 10, 2011

  FINRA announced Tuesday that it had fined Citigroup Global Markets Inc. $500,000 for failure to supervise a former registered sales assistant in its branch office in Palo Alto, Calif.

• FINRA Fines Northern Trust, Credit Suisse, Merrill

  By Janet Levaux, AdvisorOne  |  June 2, 2011

  The combined fines total $8.1 million and concern CMOs and subprime mortgage securitizations.

• FINRA Fines Northern Trust, Credit Suisse, Merrill

  By Janet Levaux, AdvisorOne  |  June 2, 2011

  The combined fines total $8.1 million and concern CMOs and subprime mortgage securitizations