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By Melanie Waddell, AdvisorOne |
September 30, 2011
LPL Financial announced Friday that it has hired James Shorris, a former top enforcement official at FINRA, as executive VP and associate counsel for regulatory and compliance policy.
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By Marlene Y. Satter, AdvisorOne |
October 22, 2010
J. Bradley Bennett has been chosen to serve as the new head of FINRA's Enforcement Division.
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By Melanie Waddell, AdvisorOne |
May 26, 2010
The Financial Industry Regulatory Authority (FINRA) recently fined Piper Jaffray & Co. $700,000 for violations related to its failure to retain approximately 4.3 million e-mail messages.
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By Staff Writer |
May 1, 2006
Fines, Complaints, Mergers The NASD fined American General Securities Inc., a member company of AIG, more than $1.1 million for violations of NASD's Anti-Reciprocal Rule. NASD...