FINRA Slaps $6.5 Million Fine on LPL Financials

The Financial Industry Regulatory Authority (FINRA) imposed a $6.5 million fine on LPL Financials, one of the largest independent broker-dealers in the US. The financial services company failed to establish a...

FINRA Slaps $475,000 Fine on CitiGroup Global Markets

The Financial Industry Regulatory Authority (FINRA) announced that it has fined CitiGroup Global Markets Inc. (CGMI) $475,000 for failing to disclose the potential conflict of interest in approximately 16,850...

FINRA Warns Member Firms Against Imposter Domain Name

The Financial Industry Regulatory Authority (FINRA) has recently published a notice on its website, warning the public that an imposter website is impersonating the United States regulator. FINRA is an indep...