Please ensure Javascript is enabled for purposes of website accessibility

Tag Archives: FINRA

UBS Financial Services Inc. v. WVU Hospitals Inc.

U.S. Court of Appeals for the Second Circuit FINRA Arbitration — Forum Selection UBS Financial Services Inc. v. WVU Hospitals Inc. 11-235-cv Judges Raggi, Lohier and Preska Background: The plaintiff-appellants appealed the denial of their motion for a preliminary injunction ...

Read More »

Goldman fined $650,000 for disclosure lapse

WASHINGTON, D.C. — Industry regulators have fined Goldman Sachs $650,000 for failing to disclose that two of its brokers, including the executive accused of leading the mortgage securities deal that brought civil fraud charges against the firm, were under investigation by the government.

Read More »

FINRA fines HSBC Securities $1.5M

The Financial Industry Regulatory Authority on Thursday announced that it has settled charges with two more firms relating to the sale of auction rate securities that became illiquid when auctions froze in February 2008 ...

Read More »

Scottrade fined $200K for day trading violations

The Financial Industry Regulatory Authority this week announced that it has fined Scottrade Inc. $200,000 for violating pattern day trading margin rules and extending credit to customers in violation of federal securities laws and banking regulations.

Read More »

FINRA enforcement chief steps down

The Financial Industry Regulatory Authority on Thursday announced said Susan Merrill, who has led FINRA’s Enforcement arm and one of its predecessor organizations for more than five years plans to return to private practice.

Read More »