A firm settled FINRA charges for (i) allowing paid influencers to make posts on social media that involved unfair, exaggerated or false claims and (ii) failing to review such posts prior to their posting.
News & Insights
67 News Results
A broker-dealer settled charges with FINRA it sent confirmations to institutions' customers that "inaccurately reflected the capacity in which the firm acted."
A broker dealer settled FINRA charges for failing to disclose to retail customers markup and markdown information on transactions in debt securities, including municipal securities and corporate and agency debt.
A dually registered broker-dealer and investment advisor settled FINRA charges for failure to supervise its registered representatives' electronic communications.
FINRA settled charges with four firms for misrepresentations and supervision failures on their "fully paid securities lending" programs.