NASD

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  SEC, FINRA Enforcement Roundup: Cantor Fitzgerald Hit by FINRA

  By Marlene Y. Satter, AdvisorOne  |  October 25, 2012

  Among recent SEC and FINRA actions were Cantor Fitzgerald being censured and fined and FINRA imposing a $14 million settlement on a Hong Kong-based firm charged with insider trading.

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  SEC, FINRA Enforcement Roundup: Former Billion-Dollar Hedge Fund Advisory Firm, Execs Slapped

  By Marlene Y. Satter, AdvisorOne  |  October 19, 2012

  Citigroup, Merrill Lynch and Natixis were among those sanctioned by the SEC and FINRA this week.

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  SEC, FINRA Enforcement Roundup: Merrill Slapped With $500,000 Fine

  By Marlene Y. Satter, AdvisorOne  |  September 27, 2012

  Recent FINRA actions include a $500,000 fine against Merrill Lynch for failing to file required reports, and a joint action with the SEC and the exchanges against Hold Brothers.

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  FINRA Regulatory Head Luparello Leaving to Join D.C. Law Firm

  By Melanie Waddell, AdvisorOne  |  September 4, 2012

  FINRA announced Tuesday that Vice Chairman Stephen Luparello, who has been at FINRA and the NASD for more than 16 years, is leaving to join the WilmerHale law firm in Washington.

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  SEC, FINRA, DOL Enforcement Roundup: Investing Website Exposed as $600M Scam

  By Marlene Y. Satter, AdvisorOne  |  August 23, 2012

  A CEO who fed inside tips to a pro baseball player and an investment website running a $600 million Ponzi scheme were among those charged by the SEC recently.

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  Resolved: FINRA Should Review These 10 Outdated Rules

  By Brian Rubin, Deborah Heilizer and Susan Krawczyk  |  July 20, 2012

  FINRA should heed the advice of a recent GAO report and revisit these rules, which the authors humbly suggest either no longer work as intended, or have effectively been replaced by other rules or guidance. In response to the GAO recommendation,

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  It’s Not Too Late to Make Your Voice Heard on SRO Bill

  By David Tittsworth, IAA  |  July 6, 2012

  If you’re not in favor of having FINRA become the SRO for RIAs, join the advisor grass-roots effort to advocate with Congress against Bachus bill.

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  Can Brokers Get Justice From FINRA?

  By Gil Weinreich, AdvisorOne  |  July 5, 2012

  Where does an advisor go to get his reputation back? That is the heart of a complaint of a former broker suing FINRA to expunge damaging allegations from his CRD that have kept him from the industry for two years.

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  SEC, FINRA, DOL Enforcement Roundup: Investment Advice From the Heavens

  By Marlene Y. Satter, AdvisorOne  |  June 21, 2012

  Recent enforcement actions included an astrology-based Ponzi scheme, along with fines for Morgan Keegan, Edward Jones and Janney Montgomery Scott.

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  SEC/FINRA Enforcement Roundup: Raymond James Failed to Stop Scheming Client

  By Marlene Y. Satter, AdvisorOne  |  June 7, 2012

  FINRA and the SEC issued enforcement actions recently for inadequate measures against Ponzi schemes, fund misappropriation, inappropriate sales materials for ETFs and penny stock pumping.