James Shorris

• Former Top FINRA Official Shorris Joins LPL

  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.

• FINRA Names Bennett New Head of Enforcement

  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.

• FINRA Fines Piper Jaffray $700,000 for E-mail Infractions

  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.

• News & Products

  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...