FINRA

18 Jun 2014 No Comments

FINRA tags Merrill Lynch with $8 million fine for mutual fund sales charges

Finra slapped Bank of America Merrill Lynch with an $8 million fine and ordered the wirehouse to pay a total of $89 million in restitution for failing to waive mutual fund […]

14 Aug 2008 No Comments

Auction Rate Securities: What Happens When Auctions Fail

http://www.finra.org/InvestorInformation/InvestorAlerts/TradingSecurities/AuctionRateSecuritiesWhatHappensWhenAuctionsFail/index.htm    

27 Jun 2008 No Comments

Deal or No Deal?

An article from the June 30, 2008 Businessweek on how stockbrokers’ misconducts are handled. Download only_deal_or_no_deal_finra.pdf

25 Jun 2008 No Comments

FINRA Home Page

Here is a link to FINRA’s Home Page .