Academic

FINRA, Formerly NASD, Gets Serious About Enforcing Fines
Since just about the beginning of time, FINRA (formerly NASD) fines were viewed as a mere nuisance by out-of-business firms and former registered persons...

FINRA Rules
As you may be aware, in July 2007, the NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange were consolidated into the Financial Industry Regulatory Authority (FINRA)...

FINRA Fines 19 Firms a Total of $2.8 Million for Inaccurate Advertised Trade Volume Information
FINRA fined the firms after it compared the firms' advertised trade volume with the firms' executed trade volume found substantial overstatements for each firm in one or more of the securities reviewed...

FINRA Fines J. P. Morgan Securities $500,000
FINRA fined J.P. Morgan Securities, Inc. $500,000 for failing to disclose to the MSRB that it had used consultants to obtain numerous municipal securities offerings and had made payments to consultants connected to particular offerings...

FINRA Arbitration Filings Up 49% Over Last Year
The market downturn is only a few months old, and FINRA filings are already up 50%...

FINRA Fines Oppenheimer $4.5 Million for Market Timing
The latest on the market-timing settlement front: Oppenheimer agrees to pay FINRA $4...

Stock Splits and Reverse Stock Splits
How splits can affect stock value

I did test negative on drug/alcohol test. I was escorted to the lab in the hospital I work in and asked in front of my co-workers who would be doing my drug testing. My test results were also sent to the office of the nu
hi, i just thought id give my sympathy as i too am in the mist of fighting a def...

My mother-in-law recently passed and did not have a will. She has two adult children who are in agreement about a 50-50 split. She has some stock options and a house with a balance, but the broker and mortgage company sa
In most jurisdictions, when someone passes away without a will a court proceedin...

Where can I find out what is the Statute of Limitations for a dispute with stock brokerage firm on an over payment of foreign tax for the interest I received thru the brokerage from abroad?
First, it is possible that the documents you signed when you opened the account ...

Can the county Sheriff deny you a pistol permit?
I am a staunch advocate against weapons and carrying weapons and carrying weapon...

Can I clear parking ticket fines by filing for bankruptcy?
No. This is for loans such as credit cards, mortages, car loans, and other types...

JC Penny Zebra Rugs
Recalled due to Fire Hazard

EPA Violations
Riverside Cement to pay $384,000 for air quality violations.

Foster Sisters
Department of Children and Family Services and Penny Lane Centers pay $420,000 child abuse settlement.

LCD Manufacturers
to Pay $585 Million in Price-Fixing Fines

Tollway I-Pass
alleging that users were sent erroneous fines

19 Washington Cities
Face Traffic Fines Class Action